Co

lla

bo

rati

ve

Re

se

arc

h b

etw

ee

n B

usin

ess

an

d U

niv

ers

itie

s:

Th

e L

am

be

rt T

oo

lkit

8 Y

ea

rs O

n

Inte

llect

ual P

rop

erty

Offi

ce is

an

oper

atin

g na

me

of t

he P

aten

t O

ffice

20

13

/26

Researc

h c

om

mis

sio

ned

by t

he Inte

llectu

al P

rop

ert

y O

ffice,

and

carr

ied

out

by IP

Pra

gm

atics L

imited

by:

Ela

ine

Eg

gin

gto

n, R

uper

t O

sbo

rn a

nd C

laud

e K

apla

n

This

is a

n ind

ep

end

ent

rep

ort

co

mm

issio

ned

by t

he Inte

llectu

al P

rop

ert

y O

ffice (IP

O)

In c

olla

bo

ratio

n w

ith A

UR

IL,

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I, P

raxis

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o &

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Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Pub

lished

by T

he Inte

llectu

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rop

ert

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ww

w.ip

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ov.

uk

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s :

The L

am

bert

To

olk

it 8

Years

On

An e

valu

atio

n o

f th

e im

pacts

arisin

g f

rom

the d

evelo

pm

ent

and

intr

od

uctio

n

of

the L

am

bert

mo

del ag

reem

ents

and

to

olk

it,

co

nd

ucte

d b

y IP

Pra

gm

atics

Ltd

o

n

behalf

of

the

Inte

llectu

al

Pro

pert

y

Offi

ce

in

co

llab

ora

tio

n

with

Asso

cia

tio

n

of

Univ

ers

ity

Resarc

h

and

In

dustr

y

Lin

ks

(AU

RIL

),

the

Co

nfe

dera

tio

n of

British In

dustr

y (C

BI),

P

raxis

Unic

o and

th

e Techno

log

y

Str

ate

gy B

oard

(TS

B)

May 2

013

Ela

ine E

gg

ing

ton, R

up

ert

Osb

orn

and

Cla

ud

e K

ap

lan

IP P

rag

matics L

imited

IP

Pra

gm

atics

(ww

w.ip

-pra

gm

atics.c

om

) is

a

sp

ecia

list

co

nsultancy

that

pro

vid

es a

rang

e o

f in

telle

ctu

al p

rop

ert

y m

anag

em

ent and

co

mm

erc

ialis

atio

n

serv

ices to a

ssis

t univ

ers

itie

s, g

overn

ment re

searc

h in

stitu

tes a

nd

co

mp

anie

s

to in

cre

ase th

eir co

mm

erc

ial

revenue fr

om

th

eir re

searc

h,

exp

ert

ise and

facili

ties.

The c

om

pany h

elp

s c

lients

to c

reate

and

realis

e v

alu

e f

rom

their

inte

llectu

al

pro

pert

y a

ssets

thro

ug

h t

he p

rovis

ion o

f in

teg

rate

d i

nte

llectu

al

pro

pert

y a

nd

busin

ess d

evelo

pm

ent serv

ices.

ela

ine.e

gg

ing

ton@

ip-p

rag

matics.c

om

156

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

3

Exec

utiv

e Su

mm

ary

The L

am

bert

to

olk

it is a

set

of

decis

ion t

oo

ls a

nd

sta

nd

ard

ag

reem

ents

desig

ned

to

im

pro

ve t

he

pro

cess o

f neg

otiating

co

llab

ora

tio

n a

gre

em

ents

betw

een researc

h e

sta

blis

hm

ents

and

busin

ess,

whic

h h

as b

een in p

lace s

ince 2

00

5.

The a

im w

as t

o p

rod

uce a

co

mp

rom

ise a

pp

roach t

hat

was

fair a

nd

bala

nced

, w

itho

ut

favo

uring

either

ind

ustr

y o

r univ

ers

ity inte

rests

, to

:

•

facili

tate

neg

otiatio

ns b

etw

een p

ote

ntial co

llab

ora

tors

•

red

uce t

he t

ime a

nd

effo

rt r

eq

uired

to

secure

ag

reem

ent

•

pro

vid

e e

xam

ple

s o

f b

est

pra

ctice

This

rep

ort

exam

ines w

heth

er th

e to

olk

it h

as a

chie

ved

these a

ims, b

ased

on e

vid

ence fro

m a

wid

e

sp

ectr

um

of p

ub

lic a

nd

private

org

anis

atio

ns c

olle

cte

d t

hro

ug

h a

n o

nlin

e s

urv

ey (2

56

resp

onses),

sup

ple

mente

d b

y in-d

ep

th inte

rvie

ws (4

8 o

rganis

atio

ns).

In

recent

years

, re

searc

h

co

llab

ora

tio

n

has

inte

nsifi

ed

. M

ore

th

an

half

the

univ

ers

itie

s

and

co

mp

anie

s s

urv

eyed

are

do

ing

mo

re o

ne-o

ff c

olla

bo

ratio

ns, m

ore

str

ate

gic

rela

tio

nship

s a

nd

mo

re

Euro

pean p

roje

cts

than in 2

00

5.

The L

am

bert

to

olk

it fo

rms just

one p

art

of a m

uch b

igg

er

shift

in

the inno

vatio

n e

nviro

nm

ent

betw

een b

usin

ess a

nd

the r

esearc

h b

ase o

ver

this

perio

d.

Kno

wle

dge

of t

he L

amb

ert t

oolk

it is

wel

l est

ablis

hed

in th

e re

sear

ch a

nd in

nova

tion

com

mun

ity.

Over

80

% o

f th

e r

esearc

h c

om

munity,

and

over

50

% o

f th

e c

om

panie

s s

urv

eyed

are

aw

are

of

it,

altho

ug

h S

ME

s s

eem

much less fam

iliar

with t

he r

eso

urc

e.

Alm

ost

70

% o

f th

e o

rganis

atio

ns t

hat

are

aw

are

of th

e L

am

bert

ap

pr o

ach h

ave u

sed

at le

ast so

me p

art

of th

e to

olk

it to

sup

po

rt d

iffere

nt

activitie

s,

but

only

3%

are

usin

g t

he a

gre

em

ents

unm

od

ified

. T

he t

oo

lkit i

s m

ost

suitab

le f

or

a

min

ority

of univ

ers

ity-b

usin

ess inte

ractio

ns, and

we e

stim

ate

that

less t

han 1

0 o

r 1

5%

by v

alu

e o

f

co

llab

ora

tive r

esearc

h b

etw

een u

niv

ers

itie

s a

nd

busin

ess in t

he U

K is b

ased

on a

Lam

bert

-lik

e

ag

reem

ent.

We a

lso

fo

und

that

the t

oo

lkit i

s n

ot

alw

ays u

sed

as a

co

here

nt

who

le,

but

with

diff

ere

nt

part

s u

sed

to

sup

po

rt d

iffere

nt

activitie

s.

Whe

re th

e ag

reem

ents

are

use

d, t

hey

are

ofte

n us

ed in

pra

ctic

e no

t as

a fir

st c

hoic

e, b

ut ra

ther

as

a c

omp

rom

ise

pos

ition

. O

f th

ose w

ho

have u

sed

so

me p

art

of

the t

oo

lkit,

35

% w

ould

pre

fer

to u

se a

Lam

bert

(o

r Lam

bert

-lik

e) ag

reem

ent and

will u

sually

sug

gest th

em

as their fi

rst cho

ice fo

r

a s

tart

ing

tem

pla

te, w

hile

55

% w

ill u

se t

hem

only

in c

ert

ain

circum

sta

nces o

r if

they a

re o

ffere

d b

y

a p

art

ner. R

esearc

h in

stitu

tio

ns a

re m

ost

likely

to

pro

po

se t

he t

oo

lkit, as la

rge c

om

panie

s s

tro

ng

ly

pre

fer

their o

wn a

gre

em

ents

but can b

e w

illin

g to

accep

t Lam

bert

as a

sta

rtin

g p

oin

t if

it is

offere

d.

Altho

ug

h m

ost o

rganis

atio

ns w

ould

rath

er use their o

wn s

tand

ard

ag

reem

ents

as their fi

rst cho

ice,

nearly 4

0%

of th

e S

ME

s in

the s

urv

ey d

o n

ot have a

ny tem

pla

tes fo

r re

searc

h c

olla

bo

ratio

ns a

t all.

4C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The

tool

kit

is v

alue

d a

s a

good

sol

id f

ound

atio

n fo

r ne

gotia

tion,

a s

ourc

e of

cla

uses

tha

t ca

n he

lp r

esol

ve n

egot

iatio

n p

oint

s, a

nd a

n in

dep

end

ent

exem

pla

r of

a f

air

and

rea

sona

ble

ap

pro

ach,

and

its in

fluence there

fore

exte

nd

s m

uch m

or e

wid

ely

than s

imp

ly to

tho

se w

ho

use the

ag

reem

ents

unchang

ed

. A

lmo

st

80

% o

f th

ose w

ho

are

aw

are

of

the t

oo

lkit f

eel it s

imp

lifies t

he

pro

cess o

f co

nstr

ucting

co

ntr

acts

, and

pro

vid

es u

sefu

l in

form

atio

n a

nd

pre

ced

ents

, w

hils

t 7

0%

see it

as ind

ep

end

ent

and

neutr

al, a

nd

just

over

60

% a

gre

ed

that

it s

aves b

oth

tim

e a

nd

co

sts

of

neg

otiatio

n. T

ho

se w

ho

have u

sed

the t

oo

lkit a

re m

uch m

ore

lik

ely

to

ag

ree t

han t

ho

se w

ho

have

no

t. A

s a

tra

inin

g t

oo

l, it

can b

e u

sefu

l to

gain

insig

ht

into

the m

otivatio

ns o

f th

e o

ther

part

y o

r to

sup

po

rt a

neg

otiating

po

sitio

n.

Nevert

hele

ss,

ind

ustr

ial sup

po

rt f

or

the t

oo

lkit h

as b

een lackin

g -

larg

e c

om

panie

s a

re m

ore

lik

ely

to

vie

w t

he L

am

bert

ag

reem

ents

as b

iased

to

ward

s u

niv

ers

itie

s,

and

to

have a

mo

re n

eg

ative v

iew

of th

e p

ote

ntial b

enefit

s o

f th

e t

oo

lkit.

The

Lam

ber

t ap

pro

ach

can

iden

tify

wor

kab

le s

olut

ions

to

the

key

issu

es w

hich

aris

e fr

om

cont

rast

ing

univ

ersi

ty a

nd i

ndus

try

mis

sion

s an

d p

riorit

ies,

and

whic

h u

nd

erlie

so

me o

f th

e

reaso

ns that th

e a

gre

em

ents

are

no

t alw

ays c

ho

sen a

s a

sta

rtin

g p

oin

t. B

arr

iers

to

neg

otiatio

n that

are

cited

as s

till

imp

ort

ant

inclu

de v

alu

ing

IP

(fo

r alm

ost

80

% o

f th

e r

esp

ond

ents

), o

rganis

atio

nal

bure

aucra

cy in

bo

th c

om

panie

s a

nd

univ

ers

itie

s, and

lack o

f skills o

f th

e n

eg

otiato

rs o

n b

oth

sid

es

(ab

out

75

% o

f th

e r

esp

ond

ents

). I

P o

wners

hip

is o

ne d

ifficult issue,

and

is c

losely

lin

ked

to

the

develo

pm

ent

sta

ge o

f th

e t

echno

log

y. I

n r

ealit

y, o

wners

hip

is less im

po

rtant

than a

ccess r

ights

whic

h g

ive b

oth

part

ies the fre

ed

om

to

achie

ve their a

ims. P

ub

licatio

n is

ano

ther

are

a w

here

there

are

tensio

ns b

etw

een t

he t

imescale

s o

f univ

ers

itie

s a

nd

co

mp

anie

s.

Fin

ally

, lia

bilities,

ind

em

nitie

s

and

warr

anties a

re c

lauses that are

often c

halle

ng

ing

to

neg

otiate

, p

art

ly b

ecause u

niv

ers

itie

s a

nd

co

mp

anie

s h

ave v

ery

diff

ere

nt

ap

pro

aches t

o r

isk m

anag

em

ent.

Pos

sib

le im

pro

vem

ents

hav

e b

een

sugg

este

d f

or b

oth

the

tool

kit

and

the

ap

pro

ach

beh

ind

it.

The m

ost

co

mm

on r

eco

mm

end

atio

ns f

or

chang

e w

ere

to

bring

the a

gre

em

ents

up

-to

-date

, and

for

incre

ased

aw

are

ness a

nd

up

take.

Sho

win

g h

ow

the a

gre

em

ents

can b

e u

sed

to

assig

n m

or e

flexib

le IP

ow

ners

hip

, exp

loitatio

n rig

hts

and

use o

f th

e results c

ould

make the to

olk

it m

ore

rele

vant

to c

urr

ent

co

llab

ora

tive s

tyle

s w

hic

h s

hare

ow

ners

hip

, exp

ert

ise,

risk a

nd

rew

ard

. M

ore

than h

alf

of th

ose w

ho

have u

sed

Lam

bert

felt that a m

od

el a

gre

em

ent ap

pro

ach c

ould

be u

sefu

lly e

xte

nd

ed

to o

ther

typ

es o

f co

llab

ora

tio

n,

such a

s K

no

wle

dg

e T

ransfe

r P

art

ners

hip

s (K

TP

s), o

r g

overn

ment

fund

ed

re

searc

h,

whic

h is

m

ore

usually

co

nd

ucte

d as a p

rocure

ment

exerc

ise and

m

et

with

co

nsid

era

ble

fru

str

atio

n b

y u

niv

ers

itie

s.

It c

an a

lso

pro

ve u

sefu

l fo

r ag

reem

ents

with o

vers

eas

part

ners

, w

here

aw

are

ness is c

urr

ently lo

w. Fo

reig

n p

art

ners

are

often r

ecep

tive w

hen intr

od

uced

to t

he a

gre

em

ents

, p

art

icula

rly if th

ey a

re c

olla

bo

rating

in r

esearc

h w

ithin

the U

K fo

r th

e fi

rst

tim

e.

This

researc

h s

ug

gests

that

the L

am

bert

to

olk

it h

as h

ad

a p

ositiv

e influ

ence o

n s

om

e inno

vative

researc

h p

art

ners

hip

s b

etw

een U

K u

niv

ers

itie

s a

nd

busin

esses.

There

is s

co

pe t

o d

evelo

p t

hese

found

atio

ns t

hro

ug

h b

ett

er

co

mm

unic

atio

n o

f th

e b

est

use o

f th

e e

xis

ting

to

ols

, ta

rgeting

them

at

the o

rganis

atio

ns that need

them

the m

ost w

ith e

nd

ors

em

ent o

f th

eir b

enefit

in d

iffere

nt situatio

ns.

The L

am

bert

ap

pro

ach c

an h

ave v

alu

e a

cro

ss t

he r

ang

e o

f co

llab

ora

tive p

art

ners

, w

hile

SM

Es

seem

the m

ost lik

ely

to

benefit

but th

e le

ast lik

ely

to

kno

w a

bo

ut o

r use the to

olk

it. T

he to

olk

it c

an

pro

vid

e e

ffective s

up

po

rt n

ot

just

where

bo

th p

art

ies a

lread

y u

se it,

but

esp

ecia

lly if

one p

art

ner

has n

o s

tand

ard

ag

reem

ents

, o

r is

new

to

co

llab

ora

tive r

esearc

h,

or

if th

e p

art

ners

have n

ot

co

llab

ora

ted

befo

re.

Here

, th

e d

ecis

ion t

ree a

nd

outlin

e c

an h

elp

to

finalis

e t

he im

po

rtant

po

ints

mo

re e

asily

.

157

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

5

Co

nte

nts

Exe

cutiv

e S

umm

ary

3

Cha

pte

r 1

: Int

rod

uctio

n

9

Orig

ins -

the L

am

bert

revie

w

9

Develo

pm

ent

of

the t

oo

lkit

10

Co

mp

onents

of

the t

oo

lkit

1

1

Aim

s o

f th

e t

oo

lkit

1

2

Pre

vio

us e

valu

atio

ns

1

3

Our

ap

pro

ach

14

Evid

ence b

ase

14

Cha

pte

r 2

: Aw

aren

ess

and

ad

optio

n

15

Aw

are

ness

15

Web

site u

sag

e

16

Univ

ers

ity v

s ind

ustr

y

1

7

Rais

ing

aw

are

ness

1

9

Ad

op

tio

n

20

Ho

w m

any a

re u

sin

g t

he L

am

bert

to

olk

it?

2

0

Ho

w m

uch a

re t

hey u

sin

g t

he L

am

bert

to

olk

it?

24

Whic

h a

gre

em

ents

are

used

?

27

Altern

atives

32

6C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Cha

pte

r 3

: Ach

ieve

men

ts a

nd in

fluen

ce

35

Tim

e,

co

st

and

effo

rt

3

9

Imp

roved

neg

otiatio

n

4

6

Best

pra

ctice

47

End

ors

em

ent

49

Ed

ucatio

n

51

SM

E invo

lvem

ent

5

4

Imp

acts

and

influence

5

5

Cha

pte

r 4

: Per

cep

tions

and

att

itud

es

59

Barr

iers

to

neg

otiatio

n

6

0

Culture

62

Issues in IP

ow

ners

hip

64

Pub

licatio

n v

ers

us c

onfid

entialit

y

67

Lia

bili

ties,

ind

em

nitie

s a

nd

warr

anties

6

8

Influence o

f in

dustr

y s

ecto

r

6

8

Cha

pte

r 5

: Iss

ues

and

ap

plic

atio

ns

73

Fle

xib

ility

fo

r to

day’s

enviro

nm

ent

7

4

Up

dating

7

8

Exte

nsio

ns

79

Cre

ative u

se o

f m

od

ern

techno

log

y

79

Oth

er

ap

plic

atio

ns

8

0

Kno

wle

dg

e T

ransfe

r P

art

ners

hip

s

8

1

158

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

7

Go

vern

ment

82

Go

vern

ment

as a

fund

er

8

2

Go

vern

ment

as a

researc

h c

olla

bo

rato

r

84

Inte

rnatio

nal use

8

8

Cha

pte

r 6

: Con

clus

ions

91

Ap

pen

dix

1 :

Met

hod

olog

y

92

Evalu

atio

n c

halle

ng

es

9

5

Chang

ing

land

scap

e o

f kno

wle

dg

e t

ransfe

r

9

6

Ap

pen

dix

2 :

Sur

vey

que

stio

n ar

eas

97

159

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

9

Ch

ap

er

1:

Intr

od

uc

tio

n

Ori

gin

s -

the

Lam

ber

t re

view

The L

am

bert

to

olk

it is a

set

of d

ecis

ion t

oo

ls a

nd

sta

nd

ard

ag

reem

ents

desig

ned

to

im

pro

ve t

he

pro

cess

of

neg

otiating

co

llab

ora

tio

n

ag

reem

ents

b

etw

een

researc

h

esta

blis

hm

ents

and

busin

ess,

whic

h h

as b

een in p

lace s

ince 2

00

5.

It f

ollo

wed

an ind

ep

end

ent

revie

w o

f B

usin

ess-

Univ

ers

ity C

olla

bo

ratio

n1 c

arr

ied

out

in 2

00

3 b

y S

ir R

ichard

Lam

bert

, la

ter

Directo

r-G

enera

l o

f

the C

onfe

dera

tio

n o

f B

ritish I

nd

ustr

y (

CB

I).

He w

as t

asked

by t

he U

K g

overn

ment’s T

reasury

(HM

T) to

exp

lore

the o

pp

ort

unitie

s a

risin

g fro

m c

hang

es in

busin

ess R

&D

and

univ

ers

ity a

ttitud

es

to c

olla

bo

ratio

n,

and

to

hig

hlig

ht

successfu

l m

eth

od

s o

f co

llab

ora

tio

n b

etw

een u

niv

ers

itie

s a

nd

ind

ustr

y, inclu

din

g s

mall-

and

med

ium

-siz

ed

ente

rprises (

SM

Es). H

is r

evie

w m

ad

e a

num

ber

of

reco

mm

end

atio

ns to

help

shap

e p

olic

y in

this

are

a, and

tw

o o

f these led

directly to

the d

evelo

pm

ent

of th

e L

am

bert

to

olk

it a

nd

the L

am

bert

mo

del ag

reem

ents

.

Re

co

mm

en

da

tio

n 4

.1 f

rom

th

e L

am

be

rt R

evie

w o

f B

usin

ess-U

niv

ers

ity C

olla

bo

rati

on

The F

und

ing

Co

uncils

and

Researc

h C

ouncils

, in

co

nsultatio

n w

ith u

niv

ers

itie

s,

the C

BI

and

oth

er in

dustr

y g

roup

s, sho

uld

ag

ree a

pro

toco

l fo

r th

e o

wners

hip

of IP

in researc

h c

olla

bo

ratio

ns.

IP p

roto

co

l m

ain

featu

res:

•

The c

om

mo

n s

tart

ing

po

int

for

neg

otiatio

ns o

n r

esearc

h c

olla

bo

ratio

n t

erm

s s

ho

uld

be t

hat

univ

ers

itie

s o

wn a

ny r

esultin

g IP,

with ind

ustr

y f

ree t

o n

eg

otiate

lic

ence t

erm

s t

o e

xp

loit it.

•

But

if ind

ustr

y m

akes a

sig

nifi

cant

co

ntr

ibutio

n it

co

uld

ow

n t

he IP.

•

Who

ever

ow

ns t

he IP,

the f

ollo

win

g c

ond

itio

ns n

eed

to

be m

et:

1.

The u

niv

ers

ity is n

ot

restr

icte

d in its

futu

re r

esearc

h c

ap

ab

ility

.

2.

All

ap

plic

atio

ns o

f th

e IP

are

develo

ped

by t

he c

om

pany in a

tim

ely

manner.

3.

The s

ub

sta

ntive r

esults o

f th

e r

esearc

h a

re p

ub

lished

within

an a

gre

ed

perio

d.

•

On a

ll o

ther

term

s t

he p

roto

co

l sho

uld

reco

mm

end

flexib

ility

where

po

ssib

le t

o h

elp

ensure

that

the d

eal is

co

mp

lete

d.

•

The Fund

ing

C

ouncils

and

R

esearc

h C

ouncils

sho

uld

re

quire univ

ers

itie

s to

ap

ply

th

e

pro

toco

l in

researc

h c

olla

bo

ratio

ns invo

lvin

g f

und

ing

fro

m a

ny o

f th

e C

ouncils

.

1

Lam

bert

Revie

w o

f B

usin

ess-U

niv

ers

ity C

olla

bo

ratio

n,

Fin

al R

ep

ort

. D

ecem

ber

20

03

.

10C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Re

co

mm

en

da

tio

n 3

.5 f

rom

th

e L

am

be

rt R

evie

w o

f B

usin

ess-U

niv

ers

ity C

olla

bo

rati

on

The A

sso

cia

tio

n f

or

Univ

ers

ity R

esearc

h &

Ind

ustr

y L

inks (

AU

RIL

), t

he C

onfe

dera

tio

n o

f B

ritish

Ind

ustr

y (C

BI) and

th

e S

mall

Busin

ess S

erv

ice (S

BS

) sho

uld

p

rod

uce a sm

all

set

of

mo

del

researc

h c

olla

bo

ratio

n c

ontr

acts

, fo

r vo

lunta

ry u

se b

y ind

ustr

y a

nd

univ

ers

itie

s.

•

A r

ang

e o

f m

od

el ag

reem

ents

sho

uld

be d

evelo

ped

, sett

ing

out

vario

us a

pp

roaches t

o I

P

ow

ners

hip

, m

anag

em

ent

and

exp

loitatio

n r

ights

inclu

din

g,

but

no

t lim

ited

to

, o

wners

hip

of

the IP

by t

he u

niv

ers

ity w

ith n

on-e

xclu

siv

e lic

ensin

g o

r exclu

siv

e lic

ensin

g t

o ind

ustr

y.

•

The m

od

el co

ntr

acts

sho

uld

be a

gre

ed

by t

he m

ain

rep

resenta

tive b

od

ies.

They c

ould

be

dis

trib

ute

d t

hro

ug

h t

he s

am

e m

eans: to

univ

ers

itie

s t

hro

ug

h A

UR

IL a

nd

Univ

ers

itie

s U

K a

nd

to ind

ustr

y t

hro

ug

h t

he C

BI and

the S

BS

.

Dev

elo

pm

ent

of

the

too

lkit

The t

imelin

e b

elo

w s

ho

ws h

ow

these r

eco

mm

end

atio

ns g

ave r

ise t

o w

hat

has b

eco

me k

no

wn

as t

he L

am

bert

to

olk

it.

2003

2004

2005

2007

2008

2010

2012

•D

ec: L

ambe

rt re

port

publ

ishe

d

• R

ecom

men

datio

n fo

r sta

ndar

d

agre

emen

ts to

aid

neg

otia

tion

•O

uter

Wor

king

Gro

up c

onve

ned

•In

ner W

orki

ng g

roup

dra

ft

colla

bora

tion

agre

emen

ts •

Feb:

Lau

nch

of a

gree

men

ts 1

-5,

plus

sup

porti

ng d

ocum

ents

•

Mar

: Exe

cutio

n of

firs

t agr

eem

ent

(GSK

- U

niv

Man

ches

ter)

•In

ner W

orki

ng G

roup

dra

ft

cons

ortiu

m a

gree

men

ts •La

unch

of c

olla

bora

tive

agre

emen

ts

A-D, p

lus

supp

ortin

g do

cum

ents

•N

ew w

ebsi

te, h

oste

d by

DIU

S/BIS

•La

st m

eetin

g of

the

Wor

king

Gro

ups

•R

ebra

ndin

g un

der t

he IP

O u

mbr

ella

•Eva

luat

ion

of th

e Im

pact

s of

the

Lam

bert

Tool

kit

Fig

ure

1.1

Tim

elin

e o

f th

e d

evel

op

men

t o

f th

e La

mb

ert

too

lkit.

Tw

o w

ork

ing

gro

up

s w

ere

set

up

– a

n O

ute

r W

ork

ing

Gro

up

with w

ide r

ep

resenta

tio

n fro

m o

ver

60

ind

ivid

uals

dra

wn f

rom

ind

ustr

y, t

he r

esearc

h c

om

munity,

go

vern

ment

and

oth

er

rele

vant

gro

up

s,

and

an I

nner

Wo

rkin

g G

roup

with f

our

rep

resenta

tives e

ach f

rom

the u

niv

ers

ity a

nd

busin

ess s

ecto

rs,

plu

s l

eg

al

sup

po

rt.

This

gro

up

was t

asked

with n

eg

otiating

and

dra

ftin

g a

n

ap

pro

ach a

nd

mo

del a

gre

em

ents

whic

h w

ere

satisfa

cto

ry fo

r all

sid

es. T

hese w

ere

then revie

wed

and

ratified

by t

he O

ute

r G

roup

. T

he Inte

llectu

al P

rop

ert

y (IP

) p

rincip

les s

ug

geste

d in L

am

bert

’s

rep

ort

were

ad

op

ted

and

taken t

hro

ug

h into

the a

gre

em

ents

and

to

olk

it.

160

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

11

Co

mp

on

ents

of

the

too

lkit

The t

oo

lkit o

ffers

a t

iere

d a

pp

roach t

o I

P o

wners

hip

based

on t

he l

evels

of

investm

ent,

bo

th

financia

l and

in

telle

ctu

al, b

y th

e co

llab

ora

ting

p

art

ners

. It is

a vo

lunta

ry ap

pro

ach and

can

pro

vid

e b

asic

princip

les a

nd

guid

ance f

or

neg

otiatio

ns,

or

pro

vid

e s

uitab

le m

od

el ag

reem

ents

desig

ned

to

be u

sed

in s

pecifi

c c

ircum

sta

nces.

The k

ey c

om

po

nents

of

the t

oo

lkit a

re:

•

a s

eries o

f M

od

el

Ag

ree

me

nts

that

are

tie

red

to

reflect

a v

ary

ing

bala

nce o

f in

vestm

ent,

pub

licatio

n r

ights

and

IP

co

ntr

ol

•

a D

ec

isio

n G

uid

e t

hat

ste

ers

users

thro

ug

h a

series o

f q

uestio

ns t

o i

dentify

the c

orr

ect

mo

del ag

reem

ent

for

a p

art

icula

r co

llab

ora

tio

n

•

two

Ou

tlin

es t

o s

up

po

rt u

sers

in t

heir n

eg

otiatio

ns b

y id

entify

ing

the p

rincip

les t

hat

need

to

be e

sta

blis

hed

at

the o

uts

et,

to

ensure

that

bo

th s

ides h

ave s

imila

r exp

ecta

tio

ns f

or

the

pro

po

sed

pro

ject

•

two

sets

of

Gu

ida

nc

e N

ote

s t

hat

help

new

co

mers

und

ers

tand

the t

erm

s a

nd

leg

al is

sues

and

hig

hlig

ht

the p

oin

ts t

hat

are

of

imp

ort

ance t

o e

ach s

ide o

f th

e n

eg

otiatio

n.

The t

oo

lkit w

as d

evelo

ped

in t

wo

phases,

pro

ducin

g t

wo

sets

of

mo

del ag

reem

ents

:

•

Fiv

e c

olla

bo

rative R

&D

ag

reem

ents

(Lam

bert

1 –

Lam

bert

5) fo

r o

ne-t

o-o

ne c

olla

bo

ratio

ns

•

Fo

ur

co

nso

rtiu

m a

gre

em

ents

(Lam

bert

A –

Lam

bert

D) fo

r m

ulti-

part

y c

olla

bo

ratio

ns.

It is im

po

rtant

to r

eco

gnis

e t

hat

the a

gre

em

ents

rep

resent

a p

ositio

n t

hat

is “

pre

-neg

otiate

d”,

and

reflects

a c

om

pro

mis

e o

n a

ll sid

es.

The a

im w

as t

o p

rod

uce a

n a

pp

roach t

hat

was fair a

nd

bala

nced

, w

itho

ut

favo

uring

either

ind

ustr

y o

r univ

ers

ity i

nte

rests

. T

he t

oo

lkit i

s h

oste

d o

n a

neutr

al w

eb

site –

no

w a

t th

e Inte

llectu

al P

rop

ert

y O

ffice (IP

O)2

and

pre

vio

usly

on t

he D

TI, D

IUS

and

BIS

web

sites.

This

neutr

alit

y is a

n im

po

rtant

featu

re o

f th

e t

oo

lkit’s

ap

pro

ach.

2

ww

w.ip

o.g

ov.

uk/lam

bert

.htm

12C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Aim

s o

f th

e to

olk

it

The L

am

bert

revie

w id

entified

that

in 2

00

3,

so

me o

f th

e b

arr

iers

to

co

llab

ora

tio

n b

etw

een t

he

researc

h e

sta

blis

hm

ents

(univ

ers

itie

s o

r p

ub

lic s

ecto

r re

searc

h e

sta

blis

hm

ents

(P

SR

Es)) a

nd

ind

ustr

y w

ere

:

•

No

co

mm

on “g

round

ru

les”

over

ow

ners

hip

o

f IP

in

re

searc

h co

llab

ora

tio

ns,

lead

ing

to

sig

nifi

cant

diffi

cultie

s in a

gre

ein

g IP

term

s

•

Need

to

dete

rmin

e IP

ow

ners

hip

and

rig

hts

at

the o

uts

et

•

Busin

ess a

nd

univ

ers

itie

s b

oth

rep

ort

neg

otiatio

ns c

an b

e e

xtr

em

ely

leng

thy a

nd

co

stly

•

Mo

del co

ntr

acts

fo

r th

e L

INK

schem

e a

re u

sefu

l b

ut

no

t availa

ble

to

all

•

Sm

alle

r co

mp

anie

s w

ith lim

ited

reso

urc

es m

ay b

e d

ete

rred

by h

igh leg

al co

sts

and

tim

e

•

So

me u

niv

ers

itie

s a

re p

erc

eiv

ed

to

overv

alu

e t

heir IP

•

Variab

le q

ualit

y o

f univ

ers

ity t

echno

log

y t

ransfe

r o

ffices (T

TO

s), r

ecru

itm

ent

& t

rain

ing

The to

olk

it w

as in

tend

ed

to

ad

dre

ss s

om

e o

f th

ese is

sues, and

in p

art

icula

r th

e o

bje

ctives o

f th

e

ap

pro

ach w

ere

to

:

•

facili

tate

neg

otiatio

ns b

etw

een p

ote

ntial co

llab

ora

tors

•

red

uce t

he t

ime a

nd

effo

rt r

eq

uired

to

secure

ag

reem

ent

•

pro

vid

e e

xam

ple

s o

f b

est

pra

ctice

Altho

ug

h it

was n

ot

mad

e e

xp

licit,

oth

er

less t

ang

ible

aim

s f

or

the t

oo

lkit w

ere

to

incre

ase S

ME

co

llab

ora

tio

n w

ith u

niv

ers

itie

s,

and

to

red

uce t

he g

ap

betw

een m

ore

and

less “

IP c

ap

ab

le”

univ

ers

itie

s.

161

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

13

Pre

vio

us e

valu

atio

ns

A c

om

pre

hensiv

e im

pact

evalu

atio

n o

f th

e L

am

bert

to

olk

it h

as n

ever

been u

nd

ert

aken.

There

have b

een t

hre

e p

revio

us s

urv

eys c

arr

ied

out,

tw

o i

n 2

00

6 b

y A

UR

IL a

nd

CB

I, a

nd

a t

hird

in

20

09

by A

UR

IL3.

These c

olle

cte

d e

vid

ence o

f use o

f th

e m

od

el ag

reem

ents

and

to

olk

it,

but

the

furt

her-

reachin

g o

utc

om

es and

im

pacts

w

ere

no

t exam

ined

. T

he find

ing

s o

f th

ese p

revio

us

surv

eys w

ill b

e c

om

pare

d w

ith t

he c

urr

ent

evalu

atio

n w

here

po

ssib

le in t

his

rep

ort

. In

20

07

, a

stu

dy

4 in

to n

eg

otiatio

n o

f b

usin

ess –

univ

ers

ity researc

h c

olla

bo

ratio

ns w

as le

d b

y P

ete

r S

ara

ga,

Pre

sid

ent

of

the I

nstitu

te o

f P

hysic

s a

nd

chair o

f th

e H

igher

Ed

ucatio

n F

und

ing

Co

uncil

for

Eng

land

(HE

FC

E) a

dvis

ory

gro

up

fo

r B

usin

ess a

nd

the C

om

munity.

While

no

t str

ictly a

n e

valu

atio

n

of

the Lam

bert

to

olk

it,

this

stu

dy lo

oked

clo

sely

at

the effects

o

f th

e in

tro

ductio

n o

f th

e

ag

reem

ents

, and

aim

ed

to

id

entify

what

rem

ain

ing

barr

iers

mig

ht

be i

nfluencin

g u

niv

ers

ity -

busin

ess n

eg

otiatio

ns.

Our

ap

pro

ach

The Inte

llectu

al P

rop

ert

y O

ffice h

as c

om

mis

sio

ned

this

co

mp

rehensiv

e e

valu

atio

n o

f th

e L

am

bert

too

lkit, to

info

rm p

ossib

le p

olic

y d

evelo

pm

ents

in rela

tio

n to

imp

rovin

g in

telle

ctu

al p

rop

ert

y d

eal-

makin

g a

nd

kno

wle

dg

e e

xchang

e.

The a

ims o

f th

is e

valu

atio

n a

re t

o g

ain

an u

nd

ers

tand

ing

of:

•

The e

vid

ence o

f use o

f th

e L

am

bert

to

olk

it o

r sim

ilar

mo

del ag

reem

ents

•

Who

is u

sin

g o

r no

t usin

g t

he L

am

bert

to

olk

it a

nd

why,

and

what

facto

rs d

ete

rmin

e level o

f

use

•

What

were

the b

arr

iers

to

im

ple

menta

tio

n a

nd

what

co

uld

have b

een d

one d

iffere

ntly/b

ett

er

with its

im

ple

menta

tio

n

•

Wheth

er

the L

am

bert

pro

cess h

as h

elp

ed

to

clo

se t

he c

ap

ab

ility

gap

in I

P d

eal-

makin

g

hig

hlig

hte

d b

y t

he L

am

bert

Revie

w

•

Wheth

er

R&

D c

ontr

acts

are

mo

re r

ob

ust

as a

result o

f th

e u

se o

f th

e L

am

bert

to

olk

it

3

E-S

urv

ey

on

Use

of

Lam

bert

M

od

el

Ag

reem

ents

To

olk

it,

Sum

mary

o

f Fin

din

gs,

AU

RIL

, 2

00

6

Lam

bert

To

olk

it S

urv

ey,

CB

I, 2

00

6.

Lam

bert

+4

Surv

ey R

esults 2

00

9,

AU

RIL

. (w

ww

.ip

o.g

ov.

uk/lam

bert

-auril-

surv

ey.

pd

f)

4

Str

eam

linin

g U

niv

ers

ity /

Busin

ess C

olla

bo

rative R

esearc

h N

eg

otiatio

ns: A

n Ind

ep

end

ent

Rep

ort

to

the “

Fund

ers

’

Fo

rum

” o

f th

e D

ep

art

ment

for

Inno

vatio

n U

niv

ers

itie

s a

nd

Skill

s,

Aug

ust

20

07

.

14C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Evi

den

ce b

ase

This

rep

ort

build

s o

n t

he m

any p

revio

us r

ep

ort

s o

n t

he issues s

urr

ound

ing

busin

ess-u

niv

ers

ity

inte

ractio

ns. W

e h

ave g

ath

ere

d e

vid

ence fr

om

a w

ide s

pectr

um

of p

ub

lic a

nd

private

org

anis

atio

ns

thro

ug

h a

n o

nlin

e s

urv

ey,

in-d

ep

th inte

rvie

ws a

nd

case s

tud

ies c

overing

48

org

anis

atio

ns,

and

info

rmal d

iscussio

ns w

ith m

any m

ore

ind

ivid

uals

at

meeting

s a

nd

co

nfe

rences t

hro

ug

ho

ut

the

researc

h p

erio

d. In

all,

surv

ey resp

onses w

ere

co

llecte

d fro

m 2

56

part

icip

ants

. Just o

ver

half the

surv

ey p

art

icip

ants

cam

e f

rom

the r

esearc

h c

om

munity,

with n

early 4

0%

fro

m i

nd

ustr

y b

oth

larg

e a

nd

sm

all,

and

5%

fro

m t

he IP

or

leg

al p

rofe

ssio

n.

Furt

her

deta

ils o

f th

e e

vid

ence b

ase fo

r

the r

ep

ort

are

giv

en in A

pp

end

ix 1

.

There

are

so

me inhere

nt

challe

ng

es in a

ttem

pting

a r

etr

osp

ective e

valu

atio

n o

f an inte

rventio

n

like t

his

. A

ltho

ug

h w

e h

ave inte

rvie

wed

severa

l o

f th

ose invo

lved

at

the s

tart

of th

e p

rocess, and

revie

wed

meeting

no

tes a

nd

min

ute

s, w

e h

ave n

ot

been a

ble

to

id

entify

any o

fficia

l sta

tem

ent

of

aim

s f

or

the t

oo

lkit,

and

there

was c

ert

ain

ly n

o a

ttem

pt

to m

easure

the s

tatu

s q

uo

at

the t

ime.

Eq

ually

, th

ere

has b

een n

o s

yste

matic f

ollo

w u

p o

f activitie

s,

outp

uts

and

outc

om

es,

and

we

have h

ad

to

rely

on p

roxy m

easure

s to

gaug

e w

heth

er

the to

olk

it h

as h

ad

an e

ffect.

Pro

bab

ly the

mo

st

diffi

cult a

sp

ect

is t

he im

po

ssib

ility

of

dis

enta

ng

ling

the e

ffects

and

im

pacts

of

the t

oo

lkit

fro

m t

he s

ignifi

cant

wid

er

chang

es in t

he K

no

wle

dg

e E

xchang

e (

KE

) la

nd

scap

e o

f th

e U

K o

ver

recent years

. O

ther

initia

tives fro

m g

overn

ment,

the in

fluence o

f H

EIF

fund

ing

, th

e c

ontinued

ris

e

of

Op

en I

nno

vatio

n,

a g

row

ing

em

phasis

on t

he “

Imp

act

Ag

end

a”,

an incre

ased

will

ing

ness t

o

so

urc

e t

he b

est

researc

h w

orld

wid

e r

ath

er

than c

lose t

o h

om

e,

and

the e

ffects

of

the g

lob

al

recessio

n h

ave a

ll had

fund

am

enta

l effects

on t

he w

ays t

hat

univ

ers

itie

s inte

ract

with b

usin

ess.

Ag

ain

st

this

backd

rop

, th

e i

mp

act

of

the L

am

bert

to

olk

it m

ay b

e i

nfluential, b

ut

it i

s j

ust

one

sm

all

co

g

in

a

much

big

ger

machin

e

that

esta

blis

hes

and

d

rives

a

successfu

l re

searc

h

co

llab

ora

tio

n.

162

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

15

Ch

ap

ter

2:

Aw

are

ne

ss a

nd

ad

op

tio

n•

Kno

wle

dg

e o

f th

e L

am

bert

to

olk

it is w

ell

esta

blis

hed

in t

he r

esearc

h a

nd

inno

vatio

n

co

mm

unity.

Over

80

% o

f univ

ers

itie

s a

nd

the w

ider

researc

h c

om

munity,

and

over

50

%

of

the c

om

panie

s s

urv

eyed

are

aw

are

of

it.

SM

Es a

re r

ep

ort

ed

to

be m

uch less f

am

iliar

with t

he r

eso

urc

e.

•

Alm

ost

70

% o

f th

e u

niv

ers

itie

s a

nd

co

mp

anie

s t

hat

are

aw

are

of

the L

am

bert

ap

pro

ach

have u

sed

at

least

so

me p

art

of

the t

oo

lkit t

o s

up

po

rt d

iffere

nt

activitie

s,

but

only

3%

are

usin

g t

he a

gre

em

ents

unm

od

ified

. W

e e

stim

ate

that

less t

han 1

0 o

r 1

5%

by v

alu

e o

f

co

llab

ora

tive r

esearc

h in t

he U

K is b

ased

on a

Lam

bert

-lik

e a

gre

em

ent.

•

This

is p

art

ly t

hro

ug

h

lack o

f aw

are

ness,

part

ly b

ecause t

he a

gre

em

ents

are

mo

st

suitab

le f

or

a m

ino

rity

of

univ

ers

ity-b

usin

ess inte

ractio

ns,

and

part

ly b

ecause t

hey a

re

oft

en u

sed

in p

ractice n

ot

as a

firs

t cho

ice,

but

rath

er

as a

co

mp

rom

ise p

ositio

n w

hen

the p

art

ies c

anno

t ag

ree t

o u

se o

ne o

f th

eir o

wn a

gre

em

ents

. W

hen t

hey a

re s

ug

geste

d

as a

firs

t cho

ice,

this

pro

po

sal is

mo

st

likely

to

co

me f

rom

the r

esearc

h institu

tio

n.

•

Larg

e c

om

panie

s s

tro

ng

ly p

refe

r to

use t

heir o

wn a

gre

em

ents

, b

ut

can b

e w

illin

g t

o u

se

Lam

bert

when t

his

is s

ug

geste

d b

y t

he r

esearc

h p

art

ner. N

early 4

0%

of

the S

ME

s in t

he

sam

ple

do

no

t have a

ny s

tand

ard

tem

pla

tes f

or

researc

h c

olla

bo

ratio

ns a

t all.

Aw

aren

ess

As t

he t

oo

lkit h

as b

een a

vaila

ble

fo

r eig

ht

years

, it w

ould

be h

op

ed

that

kno

wle

dg

e o

f th

e

reso

urc

e w

as w

ell

esta

blis

hed

. M

ore

th

an

tw

o-t

hir

ds o

f th

e su

rve

y re

sp

on

de

nts

w

ere

alr

ea

dy a

wa

re o

f th

e L

am

be

rt a

gre

em

en

ts o

r to

olk

it.

This

aw

are

ness w

as m

uch h

igher

am

ong

st

the u

niv

ers

itie

s a

nd

wid

er

researc

h c

om

munity (at

81

%) th

an w

ithin

ind

ustr

y (at

53

%).

As w

ould

be e

xp

ecte

d,

the IP

and

leg

al p

rofe

ssio

ns a

re a

lso

well

aw

are

of

the t

oo

lkit.

16C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

020406080100

120

140

Res

earc

hor

gani

satio

nC

ompa

nyP

rofe

ssio

nal/

othe

r

Numberofrespondents

Allr

espo

nden

ts (n

=249

)

No

Yes

Fig

ure

2.1

- B

efo

re s

tart

ing

this

sur

vey,

wer

e yo

u aw

are

of t

he L

amb

ert a

gre

emen

ts a

nd/o

r the

Lam

ber

t to

olk

it?

This

level

of

aw

are

ness s

ug

gests

that

the L

am

bert

to

olk

it i

s w

ell

esta

blis

hed

in t

he r

esearc

h

inno

vatio

n c

om

munity.

Ho

wever, t

he a

sso

cia

tio

n o

f th

e L

am

bert

nam

e w

ith t

he s

urv

ey m

eans

that

tho

se w

ho

have h

eard

of

the L

am

bert

to

olk

it m

ay h

ave b

een m

ore

lik

ely

to

co

mp

lete

the

questio

nnaire.

Web

site

usa

ge

The

researc

h

co

llab

ora

tio

n

ag

reem

ents

o

n

the

Lam

bert

w

eb

site

receiv

e

ap

pro

xim

ate

ly

1,5

00

 vie

ws e

ach p

er

year, a

nd

the c

onso

rtiu

m a

gre

em

ents

ab

out

1,0

50

 vie

ws e

ach p

er

year.

On

ave

rag

e,

ea

ch

ag

ree

me

nt

is v

iew

ed

ab

ou

t 4

or

5 t

ime

s e

ve

ry d

ay.

Desp

ite m

inim

al

ad

vert

isin

g,

the n

um

ber

of

vie

ws h

as g

row

n s

lightly,

altho

ug

h n

ot

sig

nifi

cantly,

each y

ear

sin

ce

their m

ove t

o t

he I

PO

web

site i

n 2

01

0,

sho

win

g t

hat

they a

re a

reso

urc

e w

hic

h i

s s

till

wid

ely

used

and

relie

d u

po

n.

163

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

17

0

1000

2000

3000

Lam

bert

1La

mbe

rt2

Lam

bert

3La

mbe

rt4

Lam

bert

5La

mbe

rtA

Lam

bert

BLa

mbe

rtC

Lam

bert

DO

utlin

es

Numberof document views

Sou

rce:

IPO

2008

2009

2010

2011

2012

Fig

ure

2.2

- D

ocu

men

t vi

ews

on

the

Lam

ber

t to

olk

it w

ebsi

tes

2008

– 2

012.

So

urce

: IP

O.

Un

iver

sity

vs

ind

ust

ry

We fo

und

a s

tro

ng

perc

ep

tio

n t

hat

the s

ecto

r th

at

was m

ost

aw

are

of th

e L

am

bert

ag

reem

ents

was t

he u

niv

ers

ity s

ecto

r, a

nd

that

the s

ecto

r w

ith least

aw

are

ness w

as t

he S

ME

secto

r. T

he

hig

hest

aw

are

ness r

ating

was w

ithin

the R

ussell

Gro

up

univ

ers

itie

s,

a g

roup

of

24

researc

h-

inte

nsiv

e

univ

ers

itie

s

whic

h

are

am

ong

st

the

mo

st

active

in

ind

ustr

y-u

niv

ers

ity

researc

h.

Aw

are

ne

ss w

ith

in u

niv

ers

itie

s w

as r

ate

d a

s m

ed

ium

or

hig

h b

y 8

8%

of

the

re

sp

on

de

nts

wh

o g

ave

an

op

inio

n, w

hilst

aw

are

ne

ss in

SM

Es w

as r

ate

d a

s lo

w b

y 9

1%

. T

his

was a

lso

bo

rne o

ut

in o

ur

info

rmal

dis

cussio

ns;

many o

f th

e S

ME

s c

onta

cte

d d

id n

ot

kno

w a

bo

ut

this

reso

urc

e b

ut

were

keen t

o e

xp

lore

it

once t

hey k

new

that

it e

xis

ted

.

“Nev

er h

eard

of

the

tool

kit

until

tod

ay -

sou

nds

help

ful &

will

look

it u

p n

ow”

– S

ME

Even a

t th

e r

ecent

Inno

vate

20

13

event

with a

n S

ME

-fo

cused

aud

ience w

hic

h w

as a

lread

y s

elf-

sele

cte

d a

s b

ein

g i

nte

reste

d i

n i

nno

vatio

n a

nd

IP

in u

niv

ers

ity-b

usin

ess c

olla

bo

ratio

n,

only

a

sm

all

min

ority

had

heard

of

the L

am

bert

to

olk

it.

18C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

020406080

100

120

140

Numberofrespondents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

64)

Low

Med

ium

Hig

h

Fig

ure

2.3

- W

ithin

the

org

anis

atio

ns t

hat

you

inte

ract

with

, ho

w w

oul

d y

ou

rate

aw

aren

ess

of

the

Lam

ber

t to

olk

it?

In t

he s

urv

ey s

am

ple

, m

ore

than 5

0%

of

the S

ME

resp

ond

ents

had

heard

of

the t

oo

lkit,

whic

h

ag

ain

sug

gests

that

the L

am

bert

bra

nd

ing

asso

cia

ted

with t

he s

urv

ey i

s l

ikely

to

enco

ura

ge

part

icip

atio

n f

rom

tho

se w

ho

have c

om

e a

cro

ss t

he a

gre

em

ents

.

Cas

e S

tud

y -

Sm

all e

ntr

epre

neu

rial

co

mp

any

AC

AL E

nerg

y L

td (

ww

w.a

cale

nerg

y.co

.uk)

is d

evelo

pin

g i

nno

vative c

hem

ical

cata

lysts

fo

r th

e

next

genera

tio

n o

f affo

rdab

le fu

el

cells

. Fro

m sm

all

beg

innin

gs w

ith ju

st

two

p

eo

ple

and

a

busin

ess p

lan 8

 years

ag

o,

the c

om

pany n

ow

em

plo

ys 3

2 p

eo

ple

and

has r

ais

ed

£1

6m

in

ventu

re c

ap

ital.

Their p

rod

uct

develo

pm

ent

has b

een sup

po

rted

b

y a num

ber

of

co

llab

ora

tive p

roje

cts

in

chem

istr

y a

nd

mate

rials

researc

h w

ith lead

ing

UK

univ

ers

itie

s inclu

din

g M

ancheste

r, L

iverp

oo

l,

Birm

ing

ham

and

New

castle.

As a

sta

rt-u

p,

with n

o s

tand

ard

ag

reem

ents

of

their o

wn,

AC

AL

turn

ed

to

the L

am

bert

to

olk

it, and

has u

sed

the m

od

el a

gre

em

ents

as the b

asis

fo

r th

eir researc

h

co

llab

ora

tio

ns s

ince t

heir l

aunch.

Am

and

a L

yne,

VP

of

Str

ate

gic

Busin

ess D

evelo

pm

ent

and

Mark

eting

, exp

lain

s “

The s

tructu

re o

f th

e d

eals

is a

n e

xcelle

nt

sta

rtin

g p

oin

t, w

hic

h w

e h

ave

used

fo

r K

no

wle

dg

e T

ransfe

r P

art

ners

hip

s (

KT

Ps), C

AS

E P

hD

stu

dents

hip

s,

and

po

st-

do

cto

ral

researc

h p

roje

cts

. U

sin

g t

hese m

od

el ag

reem

ents

has a

ccele

rate

d s

evera

l p

art

ners

hip

s,

whic

h

had

pre

vio

usly

taken a

ges t

o n

eg

otiate

.”

164

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

19

Rai

sin

g a

war

enes

s

01020304050607080

Numberofrespondents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

6)

Fig

ure

2.4

- H

ow

did

yo

u b

eco

me

awar

e o

f th

e La

mb

ert

mo

del

ag

reem

ents

?

Th

e m

ain

ro

ute

s t

o a

wa

ren

ess o

f th

e t

oo

lkit

are

by w

ord

of

mo

uth

(2

0%

), t

hro

ug

h

pro

fessio

na

l o

rga

nis

ati

on

s (

18

%)

an

d v

ia t

he

we

bsit

e (

14

%).

When t

he t

oo

lkit w

as fi

rst

launched

, and

th

en re

-launched

w

ith th

e co

nso

rtiu

m ag

reem

ents

, th

ere

w

as co

nsid

era

ble

pub

licity p

art

icula

rly in

the u

niv

ers

ity s

ecto

r th

roug

h n

ew

sle

tters

, sem

inars

, art

icle

s, and

tra

inin

g.

In r

ecent

years

, th

is h

as d

rop

ped

as t

he k

no

wle

dg

e o

f th

e t

oo

lkit h

as p

assed

into

“re

ceiv

ed

wis

do

m”.

As w

ill b

e s

ho

wn in F

igure

5.1

, 6

4%

of

tho

se w

ho

exp

ressed

an o

pin

ion f

elt t

hat

the

too

lkit c

ould

be i

mp

roved

by i

ncre

asin

g a

ware

ness a

nd

up

take o

f th

e r

eso

urc

e.

The I

PO

has

never

und

ert

aken a

fo

rmal a

ware

ness c

am

paig

n a

round

the t

oo

lkit, and

much o

f th

e a

dvert

isin

g

has b

een c

arr

ied

out

by s

up

po

rters

of

the t

oo

lkit,

and

by p

art

ner

org

anis

atio

ns lik

e A

UR

IL a

nd

CB

I o

r th

roug

h t

rain

ing

co

urs

es r

un b

y P

raxis

Unic

o a

nd

oth

ers

. M

uch o

f th

is p

rom

otio

n h

as

been t

arg

ete

d m

ore

str

ong

ly a

t th

e u

niv

ers

ity s

ecto

r, p

art

icula

rly a

t th

ose i

n t

he t

echno

log

y

transfe

r o

r re

searc

h c

ontr

act

offi

ces.

Aw

are

ness is lo

wer

am

ong

st

acad

em

ic r

esearc

hers

, w

ho

will

oft

en b

e the in

div

iduals

who

neg

otiate

the in

itia

l outlin

e s

tructu

re o

f th

e researc

h c

olla

bo

ratio

n,

and

m

ore

co

uld

b

e d

one to

ed

ucate

th

is g

roup

ab

out

the IP

p

rincip

les and

d

ecis

ion tr

ee

ap

pro

ach,

if n

ot

the m

od

el ag

reem

ents

them

selv

es.

“I h

eard

ab

out t

he L

amb

ert t

oolk

it ju

st to

day

5 m

inut

es b

efor

e fil

ling

in th

is s

urve

y. R

idic

ulou

s!

MU

CH

bet

ter

pub

licity

is n

eed

ed if

the

too

lkit

is g

ood

” – U

niv

ers

ity P

rofe

sso

r

In t

he S

ME

secto

r, t

here

is a

need

to

targ

et

aw

are

ness e

ffectively

at

co

mp

anie

s w

hic

h m

ight

be

ab

le t

o g

ain

fro

m u

niv

ers

ity r

esearc

h c

olla

bo

ratio

n,

rath

er

than a

t all

of th

e e

stim

ate

d 4

.8 m

illio

n

SM

Es in

th

e U

K to

day.

B

uild

ing

o

n th

e success o

f p

eer

gro

up

in

fluence and

p

rofe

ssio

nal

20C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

org

anis

atio

ns t

o d

ate

, th

e inno

vatio

n s

up

po

rt s

chem

es s

uch a

s t

ho

se r

un b

y I

PO

, Techno

log

y

Str

ate

gy B

oard

(T

SB

), G

row

th A

ccele

rato

r, a

nd

the D

evo

lved

Auth

orities w

ould

be g

oo

d r

oute

s

to use.

Oth

er

usefu

l o

rganis

atio

ns w

ould

b

e netw

ork

ing

g

roup

s in

clu

din

g th

e K

no

wle

dg

e

Tra

nsfe

r N

etw

ork

s (

KT

Ns), p

rofe

ssio

nal g

roup

s s

uch a

s t

he L

icensin

g E

xecutives S

ocie

ty,

and

trad

e o

rganis

atio

ns.

The a

do

ptio

n o

f o

ther

typ

es o

f m

od

el ag

reem

ent,

such a

s t

he R

ussell

Gro

up

CA

SE

stu

dents

hip

ag

reem

ent,

has b

een d

riven b

y the u

niv

ers

ity s

ecto

r b

ut th

is h

as n

ot hap

pened

with the L

am

bert

ag

reem

ents

. T

he

role

o

f fu

nd

ers

in

re

co

mm

end

ing

and

p

rom

oting

th

e

use

of

part

icula

r

ag

reem

ents

can a

lso

be a

key d

river

of

aw

are

ness a

nd

up

take,

and

this

asp

ect

is e

xam

ined

in

mo

re d

eta

il in

Chap

ter

5.

Ad

op

tio

n

Ho

w m

any

are

usi

ng

th

e L

amb

ert

too

lkit

?

Overa

ll, l

ess t

han h

alf (

45

%)

of

the o

vera

ll surv

ey s

am

ple

have u

sed

any p

art

of

the t

oo

lkit,

wheth

er

the c

om

ple

te a

gre

em

ents

, cert

ain

cla

uses, o

r th

e s

up

po

rtin

g to

ols

. F

or

tho

se

wh

o a

re

alr

ea

dy a

wa

re o

f L

am

be

rt, 6

9%

of

the

re

sp

on

de

nts

ha

ve

use

d a

t le

ast

so

me

pa

rt o

f th

e

too

lkit

. T

his

resp

onse is

very

sim

ilar

to the A

UR

IL s

urv

ey o

f 2

00

9, w

hic

h fo

und

that 4

1%

of th

eir

sam

ple

had

used

the t

oo

lkit,

do

wn f

rom

54

% in t

he s

malle

r A

UR

IL s

urv

ey o

f 2

00

6.

The s

am

ple

pro

file

of

these p

revio

us s

urv

eys w

as larg

ely

fro

m t

he r

esearc

h c

om

munity,

and

had

a s

malle

r

sam

ple

siz

e,

so

it

is h

ard

to

dra

w d

irect

co

mp

ariso

ns w

ith t

his

data

, b

ut

it s

ug

gests

that

usag

e

of th

e to

olk

it h

as rem

ain

ed

fairly

co

nsta

nt sin

ce it

s in

tro

ductio

n. A

do

ptio

n le

vels

of th

e to

olk

it a

re

variab

le,

and

this

is n

ot

chang

ing

sig

nifi

cantly.

165

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

21

01020040060 Numberofrespondents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

66)No es

Fig

ure

2.5

- H

ave

you

used

any

of

the

Lam

ber

t ag

reem

ents

(inc

lud

ing

ind

ivid

ual c

laus

es),

or

the

oth

er

com

po

nent

s o

f th

e to

olk

it (O

utlin

e d

ocu

men

t, D

ecis

ion

tree

, Gui

dan

ce n

ote

s)?

In p

erc

enta

ge term

s, th

ere

is li

ttle

diff

ere

nce b

etw

een the d

iffere

nt ty

pes o

f re

searc

h o

rganis

atio

n,

where

75

-80

% h

ave u

sed

the t

oo

lkit.

Fo

r S

ME

s,

the p

erc

enta

ge is m

uch lo

wer

at

aro

und

40

%,

und

erlin

ing

the lo

wer

level o

f aw

are

ness a

nd

up

take in t

his

secto

r.

Ac

co

rdin

g to

th

e m

em

be

rs o

f th

e In

ne

r W

ork

ing

G

rou

p w

ho

w

ere

in

terv

iew

ed

, th

e

ori

gin

al in

ten

tio

n w

as t

ha

t th

e a

gre

em

en

ts s

ho

uld

be

use

d “

as is” w

ith

no

mo

difi

ca

tio

n,

bu

t in

pra

cti

ce

on

ly 3

% o

f th

ose

wh

o a

re a

wa

re o

f L

am

be

rt a

re u

sin

g t

he

m in

th

is w

ay.

Within

the s

urv

ey g

roup

who

have u

sed

so

me p

art

of

the t

oo

lkit,

35

% w

ould

pre

fer

to u

se a

Lam

bert

(o

r Lam

bert

-lik

e)

ag

reem

ent

and

will

usually

sug

gest

them

as t

heir fi

rst

cho

ice f

or

a

sta

rtin

g t

em

pla

te, w

hile

55

% w

ill u

se t

hem

only

in c

ert

ain

circum

sta

nces o

r if t

hey a

re o

ffere

d b

y

a p

art

ner.

22C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

01012020404

irst

hoi

efp

artn

erof

fers

peifi

irum

stan

eso

notu

se

Numberofrespondents

Res

pond

ents

who

hae

used

Lam

bert

(n=1

11)

Fig

ure

2.6

- W

hich

of

thes

e o

ptio

ns b

est

des

crib

es y

our

use

of

the

Lam

ber

t ag

reem

ents

?

Mo

st

org

anis

atio

ns in b

oth

the r

esearc

h a

nd

ind

ustr

y s

ecto

rs h

ave t

heir o

wn a

gre

em

ents

(so

me

of w

hic

h h

ave b

een d

erived

fro

m L

am

bert

), a

nd

will

pre

fer

to u

se these a

s their fi

rst cho

ice. Fro

m

the inte

rvie

ws a

nd

co

mm

ents

, it s

eem

s t

hat

ma

ny o

f th

ese

ho

we

ve

r w

ill

ac

ce

pt

the

use

of

the

La

mb

ert

ag

ree

me

nts

as a

se

co

nd

ch

oic

e o

r c

om

pro

mis

e p

osit

ion

wh

en

th

e p

art

ies

are

no

t a

ble

to

ag

ree

to

use

on

e o

f th

eir

ow

n a

gre

em

en

ts.

So

me o

f th

e r

easo

ns a

nd

att

itud

es b

ehin

d t

hese d

ecis

ions a

re e

xp

lore

d f

urt

her

in C

hap

ter

4.

Fo

r so

me t

he a

gre

em

ents

cam

e t

oo

late

, o

nce m

any o

rganis

atio

ns w

ere

alread

y lo

cked

into

their o

wn w

ay o

f w

ork

ing

and

fam

iliarity

with t

heir o

wn t

erm

s a

nd

co

nd

itio

ns.

All

the R

ussell

Gro

up

univ

ers

itie

s in t

he s

am

ple

,

for

exam

ple

, have s

om

e fo

rm o

f sta

nd

ard

ag

reem

ent,

and

fo

r o

ver

60

% o

f th

ese, th

is a

gre

em

ent

was d

evelo

ped

ind

ep

end

ently o

r p

re-d

ate

s t

he L

am

bert

ag

reem

ents

(th

oug

h it

may u

se s

imila

r

princip

les). F

or o

thers

the v

ery

natu

re o

f th

e “

co

mp

rom

ise”

inhere

nt in

the n

eg

otiate

d a

gre

em

ents

means th

at

many o

rganis

atio

ns w

ill alw

ays p

refe

r to

sta

rt th

eir neg

otiatio

ns fr

om

a m

ore

favo

ura

ble

po

sitio

n w

hen t

hey c

an.

166

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

23

010200400600800

100

ofrespondents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

64)

ontu

sest

anda

rds

No

inde

pend

ent

No

butu

seau

ses

No

butu

sepr

inip

es

esw

ithm

inor

mod

s

ese

at

Fig

ure

2.7

- A

re y

our

sta

ndar

d in

-ho

use

agre

emen

ts b

ased

on

the

Lam

ber

t ag

reem

ents

?

Inste

ad

of usin

g t

he L

am

bert

ag

reem

ents

exactly a

s w

ritt

en,

51

% o

f th

e s

am

ple

who

are

aw

are

of Lam

bert

will

use a

mo

difi

ed

Lam

bert

ag

reem

ent,

or

follo

w t

he s

am

e p

rincip

les.

And

a furt

her

9%

will

use c

lauses f

rom

the a

gre

em

ents

in s

pecifi

c c

ircum

sta

nces.

Th

e i

nfl

ue

nc

e o

f th

e

ag

ree

me

nts

is t

he

refo

re m

uc

h w

ide

r th

an

ju

st

tho

se

wh

o f

ollo

w t

he

te

mp

late

s e

xa

ctl

y.

The le

gal p

rofe

ssio

n in

our

sam

ple

do

es n

ot use the L

am

bert

ag

reem

ents

, p

refe

rrin

g to

use their

ow

n a

gre

em

ents

, o

r b

esp

oke c

ontr

acts

for every

situatio

n. T

his

is u

nsurp

risin

g, as the d

ocum

ents

were

inte

nd

ed

to

be u

sed

with m

inim

al

sup

po

rt f

or

the m

ore

str

aig

htf

orw

ard

co

llab

ora

tio

ns

where

leg

al ad

vic

e is less im

po

rtant.

In o

ther

secto

rs o

f th

e leg

al p

rofe

ssio

n,

ho

wever, t

he u

se

of

sta

nd

ard

ag

reem

ents

is

co

mm

onp

lace (fo

r exam

ple

in

th

e co

nstr

uctio

n o

r co

nveyancin

g

secto

rs i

t is

very

unusual

no

t to

use a

sta

nd

ard

co

ntr

act)

. T

he P

ractical

Law

Co

mp

any (

PLC

)

pro

vid

es a

sub

scrip

tio

n s

erv

ice d

eliv

ering

reg

ula

rly u

pd

ate

d p

reced

ent

do

cum

ents

to

the leg

al

pro

fessio

n,

and

so

me o

f th

e l

aw

yers

inte

rvie

wed

mentio

ned

that

they w

ould

use t

hese a

s a

sta

rtin

g p

oin

t fo

r re

searc

h c

olla

bo

ratio

ns.

Where

sta

nd

ard

s a

re u

sed

by t

he leg

al p

rofe

ssio

n a

n

imp

ort

ant

req

uirem

ent

is t

hat

the a

gre

em

ents

are

reg

ula

rly u

pd

ate

d a

nd

seen t

o b

e k

ep

t curr

ent

(as w

ith t

he P

LC

pre

ced

ent

do

cum

ents

). T

his

was h

ighlig

hte

d a

s o

ne o

f th

e c

oncern

s w

ith t

he

Lam

bert

ag

reem

ents

.

24C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Ne

arl

y 4

0%

of

the

SM

Es in

th

e s

am

ple

do

no

t h

ave

an

y s

tan

da

rd t

em

pla

tes f

or

rese

arc

h

co

lla

bo

rati

on

s a

t a

ll. T

his

co

uld

rep

resent an id

eal o

pp

ort

unity to

use the L

am

bert

ag

reem

ents

,

to avo

id th

e le

gal

tim

e and

exp

ense o

f d

raw

ing

up

an in

div

idual

co

ntr

act

for

a re

searc

h

co

llab

ora

tio

n.

On th

e o

ther

hand

, la

rge co

mp

anie

s are

th

e m

ost

likely

to

have th

eir o

wn

ind

ep

end

ent

ag

reem

ents

, a p

ositio

n t

hat

is r

eflecte

d i

n t

he m

any c

om

ments

fro

m b

oth

sid

es

that

larg

e c

om

pa

nie

s p

refe

r to

use

th

eir

ow

n a

gre

em

en

ts.

“Our

exp

erie

nce

is th

at, w

ith th

e ob

viou

s ex

cep

tion

of G

SK

, mos

t com

pan

ies

are

not k

een

to

use

the

Lam

ber

t, p

refe

rrin

g to

use

the

ir ow

n ag

reem

ents

” – R

ussell

Gro

up

Univ

ers

ity

“Mos

t co

mp

anie

s in

sist

on

usin

g th

eir

own

mod

el a

gree

men

ts (

whi

ch h

ave

IP a

nd o

ther

te

rms

that

diff

er s

igni

fican

tly f

rom

Lam

ber

t m

odel

)” –

SM

E

Ho

w m

uch

are

th

ey u

sin

g t

he

Lam

ber

t to

olk

it?

We a

ttem

pte

d t

o q

uantify

the e

xte

nt

to w

hic

h t

he L

am

bert

ag

reem

ents

are

bein

g u

sed

, b

ut

found

that

mo

st

of

the o

rganis

atio

ns w

e s

po

ke t

o d

o n

ot

gath

er

this

data

, and

oft

en w

ould

no

t

kno

w if

a p

art

icula

r ag

reem

ent

was b

ased

on t

he L

am

bert

tem

pla

te w

here

it

is o

ffere

d b

y t

he

part

ner. T

his

sug

gests

that o

rganis

atio

ns a

re n

ot re

lyin

g o

n the L

am

bert

“b

rand

” to

sup

po

rt their

IP p

rincip

les, even if th

ey h

ave inco

rpo

rate

d t

hese into

their o

wn a

pp

roach. T

he a

gre

em

ents

are

prim

arily

inte

nd

ed

fo

r o

ne-o

ff r

esearc

h c

olla

bo

ratio

ns (altho

ug

h,

as w

ill b

e d

iscussed

late

r, t

hey

may a

lso

be u

sed

successfu

lly f

or

oth

er

typ

es o

f in

tera

ctio

n), a

nd

fo

rm j

ust

part

of

the f

ull

sp

ectr

um

o

f p

ote

ntial

inte

ractio

ns b

etw

een in

dustr

y and

th

e re

searc

h co

mm

unity ill

ustr

ate

d

belo

w.

Fig

ure

2.8

- S

pec

trum

of

ind

ustr

y –

rese

arch

inte

ract

ions

.

167

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

25

Of

these p

ote

ntial in

tera

ctio

ns,

only

a p

rop

ort

ion w

ill b

e s

uitab

le o

r ap

pro

priate

fo

r a L

am

bert

ag

reem

ent.

Where

the s

urv

ey p

art

icip

ants

were

ab

le t

o e

stim

ate

ho

w m

uch o

f th

eir s

pend

/

revenue w

ould

be a

menab

le t

o u

se o

f a L

am

bert

ag

reem

ent,

the m

ost

po

pula

r sele

ctio

n w

as

0-1

0%

, and

the m

ed

ian w

as 1

1-2

5%

(estim

ate

d a

t 1

4%

), s

ho

win

g t

hat

La

mb

ert

ag

ree

me

nts

are

on

ly a

pp

rop

ria

te f

or

a r

ela

tive

ly m

ino

r n

um

be

r o

f u

niv

ers

ity-b

usin

ess in

tera

cti

on

s.

When a

sked

ab

out

the p

rop

ort

ion o

f th

eir s

pend

/revenue f

or

whic

h t

hey a

ctu

ally

did

use a

Lam

bert

ag

reem

ent,

b

oth

th

e m

ost

po

pula

r and

th

e m

ed

ian sele

ctio

n w

as 0

-10

% (m

ed

ian

estim

ate

d a

t 6

%). In the fi

gure

belo

w, th

e h

orizo

nta

l axis

sho

ws the p

rop

ort

ion o

f sp

end

/revenue

on i

nd

ustr

y-u

niv

ers

ity i

nte

ractio

ns,

and

the v

ert

ical

axis

plo

ts t

he c

um

ula

tive p

erc

enta

ges o

f

resp

ond

ents

who

cho

se a

rang

e t

hat

was h

igher

than e

ach p

art

icula

r valu

e o

f p

erc

enta

ge o

f

inte

ractio

ns.

This

gra

ph illu

str

ate

s t

hat

the s

urv

ey s

am

ple

are

no

t actu

ally

usin

g L

am

bert

fo

r all

the s

ituatio

ns w

here

it

they t

hin

k t

hat

it m

ay b

e a

pp

rop

riate

, and

that

Lam

bert

is n

ot

co

nsid

ere

d

ap

pro

priate

fo

r a l

arg

e p

rop

ort

ion o

f th

ese i

nte

ractio

ns.

Desp

ite t

his

find

ing

, th

ere

is a

sm

all

gro

up

of p

eo

ple

who

have c

om

ple

tely

ad

op

ted

the L

am

bert

ap

pro

ach,

and

use it

for

mo

re t

han

75

% o

f th

eir c

olla

bo

rative w

ork

. T

his

gro

up

co

nta

ins a

ll secto

rs –

one R

ussell

Gro

up

univ

ers

ity,

two

oth

er

univ

ers

itie

s,

one r

esearc

h institu

te,

one S

ME

and

one m

ultin

atio

nal co

mp

any,

so

fo

r

these r

esp

ond

ents

at

least

the t

oo

lkit is s

uitab

le f

or

all

their n

eed

s.

010200400600800

100

02

010

0

umuatieofrespondentswhohoseahigherrange

of u

nier

sit

indu

str

inte

ratio

ns

ppro

pria

te(n

=106

)

tua

used

(n=1

18)

stim

ated

med

ian

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

06)

6

14

Fig

ure

2.9

- F

or

wha

t p

rop

ort

ion

of

your

Bus

ines

s -

Res

earc

h O

rgan

isat

ion

spen

d/r

even

ue is

the

use

o

f a

Lam

ber

t ag

reem

ent

or

app

roac

h ap

pro

pria

te;

and

fo

r w

hat

pro

po

rtio

n d

o y

ou

actu

ally

use

a

Lam

ber

t ag

reem

ent

or

app

roac

h?

26C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

We a

lso

asked

the in-d

ep

th inte

rvie

wees t

o p

rovid

e q

uantita

tive info

rmatio

n a

bo

ut

the n

um

bers

and

valu

es o

f d

eals

that

they h

ave d

one e

ither

with o

r w

itho

ut

a L

am

bert

ag

reem

ent.

Ag

ain

,

accura

te fi

gure

s w

ere

no

t availa

ble

, b

ut

we d

id g

et

a s

ense o

f th

e o

rders

of m

ag

nitud

e invo

lved

.

Over

the p

ast

year, m

ore

than 1

,00

0 d

eals

wo

rth a

to

tal o

f >

£1

60

 mill

ion w

ere

do

ne b

y o

ur

in-

dep

th s

am

ple

, and

of

these o

nly

ab

out

50

deals

wo

rth ~

£1

5 m

illio

n u

sed

a L

am

bert

tem

pla

te.

Even w

here

the i

nte

rvie

wee w

as a

firm

sup

po

rter

of

the L

am

bert

to

olk

it a

nd

ag

reem

ent,

they

were

usually

only

ab

le to

use the tem

pla

tes in

a s

mall

pro

po

rtio

n o

f th

eir d

eals

, g

enera

lly b

ecause

the d

eal p

art

ner

pre

fers

to

use t

heir o

wn a

gre

em

ent.

Extr

ap

ola

ting

fro

m t

hese d

iffere

nt

fig

ure

s,

we

esti

ma

te t

ha

t le

ss t

ha

n 1

0 o

r 1

5%

by v

alu

e o

f c

olla

bo

rati

ve

re

se

arc

h i

n t

he

UK

is

ba

se

d o

n a

La

mb

ert

-lik

e a

gre

em

en

t.

As b

efo

re, th

e to

olk

it is

seen a

s b

ein

g m

ost usefu

l fo

r d

eals

with the u

niv

ers

itie

s, b

ut surp

risin

gly

,

it w

as r

ep

ort

ed

as n

early a

s u

sefu

l fo

r d

eals

with b

oth

SM

Es a

nd

larg

e c

om

panie

s.

Researc

h

org

anis

atio

ns r

ep

ort

that

the t

oo

lkit is m

ost

usefu

l o

r q

uite u

sefu

l w

ith a

bo

ut

75

% o

f b

oth

siz

es

of

co

mp

any.

Where

the u

se o

f th

e L

am

bert

to

olk

it i

s p

rop

osed

by o

ne o

r o

ther

part

ner, t

he

resp

onse is p

red

om

inantly p

ositiv

e o

r neutr

al, e

sp

ecia

lly in t

he r

esearc

h s

ecto

r and

SM

Es,

but

even a

mo

ng

st

larg

e c

om

panie

s.

Th

e t

oo

lkit

th

ere

fore

ca

n b

e u

se

ful

wh

en

it

is a

cc

ep

ted

,

bu

t it

is n

ot

be

ing

pro

po

se

d o

r u

se

d a

s w

ide

ly a

s m

ay b

e e

xp

ec

ted

. W

he

n i

ts u

se

is

pro

po

se

d,

this

is a

lmo

st

alw

ays f

rom

th

e u

niv

ers

ity/r

ese

arc

h s

ide

of

the

de

al. I

n t

his

resp

ect,

little h

as c

hang

ed

sin

ce t

he A

UR

IL s

urv

ey in 2

00

6,

whic

h r

ep

ort

ed

that

there

had

been

a b

ett

er

than e

xp

ecte

d t

ake-u

p o

f th

e a

gre

em

ents

by u

niv

ers

itie

s i

n t

he fi

rst

year, b

ut

whils

t

ind

ustr

y p

art

ners

were

genera

lly w

illin

g t

o u

se t

he a

gre

em

ents

when s

ug

geste

d b

y r

esearc

h

part

ner

institu

tio

ns,

only

22

% h

ad

sug

geste

d t

heir u

se t

hem

selv

es.

010200400600800

100

ofrespondentsR

espo

nden

tsw

hoha

e us

edLa

mbe

rt(

ompa

nies

n=4

Res

ear

hn=

)

Not

app

iab

e

Not

hepf

u

uite

usef

u

Mos

tuse

fu

ubi

etor

Res

earh

stabish

ment

Russe

rou

p ni

ther

ni

NH

oern

ment

MLa

rge

o oern

ment

ersea

s

ersea

s

Fig

ure

2.10

- P

leas

e ra

nk t

he u

sefu

lnes

s o

f th

e to

olk

it an

d a

gre

emen

ts f

or

the

follo

win

g n

ego

tiatio

ns.

Left

han

d s

ide

sho

ws

com

pan

y re

spo

nses

, rig

ht h

and

sid

e sh

ow

s re

sear

ch o

rgan

isat

ion

resp

ons

es.

168

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

27

Whi

ch a

gre

emen

ts a

re u

sed

?

As i

n t

he 2

00

9 A

UR

IL s

urv

ey,

our

surv

ey l

oo

ked

at

the r

ela

tive u

se o

f th

e d

iffere

nt

researc

h

co

llab

ora

tio

n a

nd

co

nso

rtiu

m a

gre

em

ents

.

Th

e L

am

be

rt r

ese

arc

h c

olla

bo

rati

on

ag

ree

me

nts

(o

ne

to

on

e)

• C

olla

bor

atio

n A

gree

men

t 1:

Sp

onso

r has n

on-e

xclu

siv

e r

ights

to

use in s

pecifi

ed

field

/

terr

ito

ry;

no

sub

licences;

Univ

ers

ity o

wns IP

• C

olla

bor

atio

n A

gree

men

t 2:

Sp

onso

r m

ay n

eg

otiate

furt

her

licence t

o s

om

e o

r all

Univ

ers

ity IP

; U

niv

ers

ity o

wns IP

• C

olla

bor

atio

n A

gree

men

t 3:

Sp

onso

r m

ay n

eg

otiate

fo

r an a

ssig

nm

ent

of

so

me

Univ

ers

ity IP

; U

niv

ers

ity o

wns IP

• C

olla

bor

atio

n A

gree

men

t 4:

Univ

ers

ity h

as r

ight

to u

se f

or

no

n-c

om

merc

ial p

urp

oses;

Sp

onso

r o

wns IP

• C

olla

bor

atio

n A

gree

men

t 5:

Co

ntr

act

researc

h:

no

pub

licatio

n b

y U

niv

ers

ity w

itho

ut

Sp

onso

r’s p

erm

issio

n;

Sp

onso

r o

wns IP

Th

e L

am

be

rt c

on

so

rtiu

m a

gre

em

en

ts (

mu

lti-

pa

rty)

• C

onso

rtiu

m A

gree

men

t A

: Each m

em

ber

of

the C

onso

rtiu

m o

wns t

he IP

in t

he R

esults

that

it c

reate

s a

nd

gra

nts

each o

f th

e o

ther

part

ies a

no

n-e

xclu

siv

e lic

ence t

o u

se t

ho

se

Results f

or

the p

urp

oses o

f th

e P

roje

ct

and

fo

r any o

ther

purp

ose

• C

onso

rtiu

m A

gree

men

t B

: The o

ther

part

ies a

ssig

n t

heir IP

in t

he R

esults t

o t

he

lead

Exp

loitatio

n P

art

y w

ho

und

ert

akes t

o e

xp

loit t

he R

esults.

(Altern

atively

the L

ead

Exp

loitatio

n P

art

y is g

rante

d a

n e

xclu

siv

e lic

ence)

• C

onso

rtiu

m A

gree

men

t C

: Each p

art

y t

akes a

n a

ssig

nm

ent

of

IP in t

he R

esults t

hat

are

germ

ane t

o its

co

re b

usin

ess a

nd

und

ert

akes t

o e

xp

loit t

ho

se R

esults

• C

onso

rtiu

m A

gree

men

t D

: Each m

em

ber

of

the C

onso

rtiu

m o

wns t

he IP

in t

he R

esults

that

it c

reate

s a

nd

gra

nts

each o

f th

e o

ther

part

ies a

no

n-e

xclu

siv

e lic

ence t

o u

se

tho

se R

esults f

or

the p

urp

oses o

f th

e P

roje

ct

only

. If a

ny m

em

ber

of

the C

onso

rtiu

m

wis

hes t

o n

eg

otiate

a lic

ence t

o a

llow

it

to e

xp

loit t

he IP

of

ano

ther

mem

ber

or

to t

ake

an a

ssig

nm

ent

of

that

IP,

the o

wner

of

that

IP u

nd

ert

akes t

o n

eg

otiate

a lic

ence o

r

assig

nm

ent

In 2

00

9,

the c

onso

rtiu

m a

gre

em

ents

had

only

just

been intr

od

uced

and

were

bein

g u

sed

much

less t

han t

he c

olla

bo

ratio

n a

gre

em

ents

. O

nly

5 o

f th

e 3

8 r

esp

ond

ents

in 2

00

9 h

ad

used

one o

r

mo

re o

f th

e c

onso

rtiu

m a

gre

em

ents

. T

his

has n

ow

evened

out,

with the c

onso

rtiu

m a

gre

em

ents

no

w u

sed

only

slig

htly l

ess t

han t

he c

olla

bo

ratio

n a

gre

em

ents

. A

ll t

he

dif

fere

nt

ag

ree

me

nt

op

tio

ns a

re u

se

d,

wit

h L

am

be

rts 2

, 4

, A

an

d D

ea

ch

use

d b

y o

ve

r 6

0%

of

tho

se

wh

o

28C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

ha

ve

use

d t

he

ag

ree

me

nts

, w

hils

t Lam

bert

5 a

nd

Lam

bert

C a

re u

sed

the least.

Lam

bert

4

was a

lso

the m

ost

po

pula

r ag

reem

ent

in b

oth

the 2

00

6 a

nd

20

09

AU

RIL

surv

eys,

but

there

has

been a

gra

dual shift

sin

ce t

hen a

way f

rom

Lam

bert

 1 a

nd

Lam

bert

 3,

with a

gro

wth

in u

se o

f

Lam

bert

 2 a

nd

Lam

bert

4.

01020040060080

Numberofrespondents

Res

pond

ents

who

hae

used

the

agre

emen

ts

200

201

(1 2

01 n

= 2

00 n

=8

2

01 n

=66

200

n=

)

Fig

ure

2.11

- W

hich

of

the

agre

emen

ts h

ave

you

used

(pic

k al

l tha

t ap

ply

)?

We a

lso

lo

oked

at

whic

h a

gre

em

ents

are

used

mo

st

oft

en b

y e

ach o

rganis

atio

n.

Ag

ain

, fo

r th

e

co

llab

ora

tio

n a

gre

em

ents

this

is L

am

bert

2 a

nd

Lam

bert

4,

with u

se o

f Lam

bert

2 in p

art

icula

r

incre

asin

g s

ince 2

00

9. T

hese a

re t

he t

wo

ag

reem

ents

whic

h r

ep

resent

the m

ost

flexib

le o

ptio

ns

for

univ

ers

ity o

r co

mp

any o

wners

hip

of

the IP

resp

ectively

. Lam

bert

5,

whic

h is n

ot

very

wid

ely

used

, m

ost clo

sely

resem

ble

s a

tra

ditio

nal “

fee-f

or-

serv

ice”

researc

h c

ontr

act,

and

has c

ond

itio

ns

on lim

itatio

n o

f p

ub

licatio

n in p

art

icula

r w

hic

h a

re d

ifficult fo

r m

any u

niv

ers

itie

s t

o a

ccep

t as t

hey

sta

nd

. T

he d

eclin

e in t

he u

se o

f Lam

bert

3 m

ay r

ep

resent

a m

ove t

ow

ard

s e

arlie

r d

ecis

ions o

ver

who

will

ow

n t

he IP

arisin

g fro

m t

he w

ork

, as t

his

is t

he a

gre

em

ent

whic

h g

ives o

wners

hip

of th

e

IP t

o t

he u

niv

ers

ity,

with ind

ustr

y r

ights

to

neg

otiate

fo

r assig

nm

ent.

169

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

29

200

201

Lam

bert

1

Lam

bert

2

Lam

bert

Lam

bert

4

Lam

bert

Res

pond

ents

who

ha

e us

ed th

e ag

reem

ents

(200

n=

8 2

01 n

=8)

Fig

ure

2.12

- W

hich

res

earc

h co

llab

ora

tion

agre

emen

t (o

ne-t

o-o

ne) d

o y

ou

use

mo

st o

ften

?

Fo

r th

e c

onso

rtiu

m a

gre

em

ents

, th

e 2

00

9 s

am

ple

is t

oo

sm

all

to i

nfe

r any t

rend

s,

but

bo

th

Lam

bert

A a

nd

D a

re p

op

ula

r in

20

13

. T

hese a

re t

he t

wo

op

tio

ns w

hic

h a

llow

the p

art

y w

hic

h

invents

to

reta

in t

he IP

in t

heir o

wn inventio

ns a

nd

in t

he r

esults t

hat

they c

reate

, w

ith d

iffere

nt

op

tio

ns fo

r d

ivid

ing

and

allo

win

g a

ccess to

this

IP

fo

r th

e o

ther

mem

bers

of th

e c

onso

rtiu

m. T

his

mechanis

m is m

uch m

ore

co

mm

only

used

in o

ur

surv

ey t

han t

he a

ltern

atives o

f no

min

ating

one

part

y t

o lead

on t

he e

xp

loitatio

n o

r tr

yin

g t

o d

ivid

e t

he I

P a

cco

rdin

g t

o w

hic

h p

art

ies a

re b

est

pla

ced

to

exp

loit it. 20

020

1

Lam

bert

Lam

bert

Lam

bert

Lam

bert

Res

pond

ents

who

ha

e us

ed th

e ag

reem

ents

(200

n=

201

n=6

6)

Fig

ure

2.13

- W

hich

co

nso

rtiu

m a

gre

emen

t (m

ulti-

par

ty) d

o y

ou

use

mo

st o

ften

?

30C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Cas

e st

ud

y –

Mu

lti-

way

co

llab

ora

tio

n

The U

niv

ers

ity o

f S

outh

Wale

s w

as a

ward

ed

fund

ing

fro

m t

he W

els

h G

overn

ment’s A

cad

em

ic

Exp

ert

ise fo

r B

usin

ess (A

4B

) schem

e.

By c

om

bin

ing

the e

xp

ert

ise a

nd

reso

urc

es a

vaila

ble

fro

m

Wels

h H

igher

Ed

ucatio

n Institu

tio

ns a

nd

ind

ustr

y in

Wale

s, th

is C

olla

bo

rative Ind

ustr

ial R

esearc

h

Pro

ject

(CIR

P)

aim

s t

o a

ccele

rate

the d

evelo

pm

ent

of

new

pro

cesses a

nd

serv

ices,

ultim

ate

ly

cre

ating

excitin

g n

ew

techno

log

ies w

hic

h a

re o

f str

ate

gic

im

po

rtance t

o t

he W

els

h e

co

no

my.

The T

uneab

le L

aser

pro

ject

bro

ug

ht

tog

eth

er

the O

pto

ele

ctr

onic

s e

xp

ert

ise o

f th

e F

aculty o

f

Ad

vanced

Techno

log

y a

t th

e u

niv

ers

ity w

ith t

he c

om

merc

ial in

put

fro

m a

multin

atio

nal co

mp

any

and

sup

po

rt f

rom

tw

o S

ME

s b

ased

in W

ale

s,

to w

ork

on a

metr

olo

gy a

pp

licatio

n.

The p

roje

ct

need

ed

an a

gre

em

ent to

bala

nce the req

uirem

ents

of th

e s

po

nso

rs, th

e u

niv

ers

ity a

nd

to

pro

tect

the c

om

merc

ial

need

s o

f th

e l

arg

e a

nd

sm

all

co

mp

anie

s i

nvo

lved

. T

he L

am

bert

Co

nso

rtiu

m

ag

reem

ent

has a

llow

ed

the p

art

icip

ants

to

deal eq

uitab

ly w

ith t

he IP

that

has a

risen d

uring

the

wo

rk.

One o

f th

e s

malle

r co

mp

anie

s u

nfo

rtunate

ly h

ad

to

withd

raw

fro

m t

he p

roje

ct

part

way

thro

ug

h,

but

und

er

the t

erm

s o

f th

e a

gre

em

ent,

this

tra

nsitio

n c

ould

be h

and

led

seam

lessly

.

The p

roje

ct

has b

een v

ery

successfu

l, a

nd

has d

evelo

ped

no

vel

inte

llectu

al

pro

pert

y f

or

the

team

. T

he p

roje

ct p

art

ners

are

curr

ently a

gre

ein

g the c

om

merc

ial t

erm

s fo

r th

e futu

re e

xp

loitatio

n

of

this

wo

rk.

170

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

31

The sup

po

rtin

g to

ols

are

used

b

y fe

wer

peo

ple

th

an th

e ag

reem

ents

th

em

selv

es,

with th

e

Guid

ance N

ote

s p

rovin

g p

op

ula

r fo

r each c

ate

go

ry.

It s

ee

ms t

ha

t th

e t

oo

lkit

is n

ot

alw

ays

use

d a

s a

co

he

ren

t w

ho

le,

bu

t w

ith

dif

fere

nt

pa

rts u

se

d t

o s

up

po

rt d

iffe

ren

t a

cti

vit

ies.

This

is a

lso

reflecte

d i

n t

he d

ocum

ent

vie

ws o

n t

he L

am

bert

web

site,

where

the s

up

po

rtin

g

do

cum

ents

are

ag

ain

vie

wed

less o

ften t

han t

he a

gre

em

ents

them

selv

es.

The d

ecis

ion t

ree is

no

t used

as o

ften a

s the a

gre

em

ents

them

selv

es, altho

ug

h it

sho

uld

be the fi

rst ste

p to

decid

ing

whic

h is

the c

orr

ect ag

reem

ent to

use. In

so

me c

ases, th

is w

ill b

e b

ecause the u

sers

are

alread

y

fam

iliar

with t

he d

iffere

nt

op

tio

ns,

but

it m

ay a

lso

reflect

a lack o

f aw

are

ness o

f ho

w m

ore

valu

e

can b

e o

bta

ined

by u

sin

g t

he t

oo

lkit a

s a

n i

nte

gra

ted

who

le,

and

by a

gre

ein

g t

he i

mp

ort

ant

issues u

p-f

ront

befo

re s

tart

ing

to

dra

ft a

n a

gre

em

ent.

010120204040

Res

oab

utin

ee

isio

nre

eui

dan

eN

otes

for

Res

oab

onso

rtium

utin

eui

dan

eN

otes

for

onso

rtium

ther

non

Lam

bert

ags

Numberofrespondents

Res

pond

ents

who

hae

used

the

too

it(n

=8)

Fig

ure

2.14

- W

hich

sup

po

rtin

g t

oo

ls h

ave

you

used

?

32C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Alt

erna

tive

s

As h

as b

een d

iscussed

earlie

r, if

the

La

mb

ert

ag

ree

me

nts

are

no

t u

se

d, th

e m

ost

co

mm

on

alt

ern

ati

ve

is t

o u

se

th

e o

rga

nis

ati

on

’s o

wn

ag

ree

me

nts

(7

6%

), f

ollo

we

d b

y a

gre

em

en

ts

su

gg

este

d b

y t

he

pa

rtn

er

(56

%).

0101202040

seow

nag

sse

othe

rm

ode

sse

partn

erag

san

ning

to u

seLa

mbe

rt

Numberofrespondents

Res

pond

ents

who

are

awar

eof

but d

o no

tuse

Lam

bert

(n=4

)

Fig

ure

2.15

- W

hat

agre

emen

ts d

o y

ou

use

for

rese

arch

co

llab

ora

tions

?

The m

ain

issues c

ited

fo

r no

t usin

g t

he L

am

bert

to

olk

it w

ere

that

cert

ain

cla

uses w

ere

no

t

accep

tab

le, o

r th

e g

enera

l ap

pro

ach d

id n

ot

co

ver

their r

eq

uirem

ents

. S

om

e o

f th

e o

ther

issues

rais

ed

were

that th

e to

olk

it d

oes n

ot w

ork

well

in a

n in

tern

atio

nal e

nviro

nm

ent,

that each s

ituatio

n

req

uires a

besp

oke a

pp

roach,

or

that

they p

refe

r to

use a

term

-sheet

ap

pro

ach.

171

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

33

02468101214 Numberofrespondents

Res

pond

ents

who

are

awar

eof

but d

o no

tuse

Lam

bert

(n=

4)

o not

oer

res

oo di

ffiut

artne

rs ref

use

ome

ause

s una

eptab

e rganis

ation

wi no

t use

ther

Fig

ure

2.16

- D

o y

ou

have

any

pro

ble

ms

with

use

of

the

Lam

ber

t ag

reem

ents

and

to

olk

it?

We a

lso

investig

ate

d t

he u

se o

f o

ther

mo

del ag

reem

ents

, and

fo

und

that

the m

ost

co

mm

only

used

were

the T

SB

sta

nd

ard

mo

del c

onso

rtiu

m a

gre

em

ent,

and

the D

ES

CA

ag

reem

ent used

fo

r

EU

fund

ed

pro

jects

. In

clin

ical

situatio

ns,

the m

od

el

Clin

ical

Trial

Ag

reem

ent

(mC

TA

), m

od

el

Clin

ical In

vestig

atio

n A

gre

em

ent

(mC

IA) and

mo

del In

dustr

y C

olla

bo

rative R

esearc

h A

gre

em

ent

(mIC

RA

) fr

om

the N

atio

nal In

stitu

te f

or

Health R

esearc

h (

NIH

R)

are

used

and

were

develo

ped

initia

lly f

rom

the L

am

bert

princip

les.

Mo

re u

niv

ers

ity-s

pecifi

c a

gre

em

ents

are

the R

ussell

Gro

up

CA

SE

PhD

stu

dents

hip

, and

the B

runsw

ick M

TA

and

ag

reem

ents

fo

r in

ter-

univ

ers

ity r

esearc

h,

whic

h a

re a

lso

fairly

wid

ely

kno

wn a

nd

used

. S

om

e i

nd

ustr

y-s

pecifi

c a

gre

em

ents

are

used

in

part

icula

r in

dustr

y s

ecto

rs, fo

r exam

ple

the F

ram

ew

ork

Ag

reem

ent

for

Technic

al S

up

po

rt (FA

TS

)

in d

efe

nce o

r th

e Inte

gra

ted

Pro

jects

Co

nso

rtiu

m A

gre

em

ent

(IP

CA

) in

IC

T.

The L

am

bert

web

site c

urr

ently in

clu

des s

om

e e

xam

ple

s o

f o

ther

mo

del a

gre

em

ents

whic

h w

ere

no

t d

evelo

ped

by t

he w

ork

ing

gro

up

s,

but

it d

oes n

ot

link t

o t

hese o

ther

sta

nd

ard

s w

hic

h h

ave

sub

seq

uently b

een d

evelo

ped

and

are

beco

min

g k

no

wn a

nd

sup

po

rted

in t

he c

om

munity.

The D

ES

CA

ag

reem

ent

for

EU

-fund

ed

re

searc

h is

an in

tere

sting

exam

ple

. A

ltho

ug

h m

any

peo

ple

said

they d

o n

ot

part

icula

rly lik

e it,

they w

ill n

evert

hele

ss u

se it

because t

he a

ltern

ative o

f

neg

otiating

a b

esp

oke a

gre

em

ent

each t

ime w

ould

be f

ar

too

onero

us t

o c

onsid

er, p

art

icula

rly

with t

he a

dd

itio

nal co

mp

licatio

n o

f d

iffere

nt

pra

ctices a

nd

law

s in d

iffere

nt

co

untr

ies.

The F

P7

fund

ing

co

mp

etitio

ns a

lso

inclu

de s

om

e f

und

am

enta

l IP

rule

s i

n t

heir f

und

ing

co

nd

itio

ns,

the

mo

st

basic

of

whic

h b

ein

g t

hat

the d

efa

ult p

ositio

n i

s t

hat

fore

gro

und

IP

genera

ted

during

a

co

llab

ora

tive p

roje

ct sho

uld

belo

ng

to

the p

art

y w

hic

h g

enera

tes it

(altho

ug

h there

are

pro

vis

ions

for

join

t o

wners

hip

in s

om

e c

ircum

sta

nces). T

here

is a

lso

a r

eq

uirem

ent

to e

nsure

that

the

34C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

fore

gro

und

IP

is u

sed

, either

in f

urt

her

researc

h a

ctivitie

s (

develo

pm

ent

or

imp

rovem

ent

of

the

genera

ted

results)

or

in c

om

merc

ial activitie

s (

pro

ductio

n a

nd

mark

eting

of

new

pro

ducts

and

serv

ices). T

his

typ

e o

f IP

pro

vis

ion a

ttached

as a

co

nd

itio

n o

f fu

nd

ing

can s

om

etim

es red

uce the

po

tential

are

as f

or

neg

otiatio

n b

etw

een t

he p

art

ners

, altho

ug

h i

n t

his

case t

here

is e

no

ug

h

flexib

ility

to

allo

w f

or

a r

ang

e o

f IP

ow

ners

hip

outc

om

es.

172

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

35

Ch

ap

ter

3:

Ac

hie

ve

me

nts

an

d

infl

ue

nc

e•

In r

ecent

years

, re

searc

h c

olla

bo

ratio

n h

as inte

nsifi

ed

. M

ore

than h

alf t

he u

niv

ers

itie

s a

nd

co

mp

anie

s s

urv

eyed

are

do

ing

mo

re o

ne-o

ff c

olla

bo

ratio

ns,

mo

re s

trate

gic

rela

tio

nship

s

and

mo

re E

uro

pean p

roje

cts

than in 2

00

5.

•

Alm

ost

80

% o

f th

ose w

ho

are

aw

are

of

the t

oo

lkit s

ay t

hat

it s

imp

lifies t

he p

rocess o

f

co

nstr

ucting

co

ntr

acts

, and

pro

vid

es u

sefu

l in

form

atio

n a

nd

pre

ced

ents

. It is p

erc

eiv

ed

by o

ver

70

% o

f re

sp

ond

ents

as b

ein

g ind

ep

end

ent

and

neutr

al. J

ust

over

60

% a

gre

ed

that

it s

aves b

oth

tim

e a

nd

co

sts

of

neg

otiatio

n.

•

It is v

alu

ed

as a

go

od

so

lid f

ound

atio

n f

or

neg

otiatio

n,

a s

ourc

e o

f cla

uses t

hat

can

help

reso

lve n

eg

otiatio

n p

oin

ts,

and

an ind

ep

end

ent

exem

pla

r o

f a f

air a

nd

reaso

nab

le

ap

pro

ach.

•

The L

am

bert

to

olk

it is m

ost

help

ful w

here

bo

th p

art

ies a

lread

y u

se it,

or

if o

ne p

art

ner

has n

o s

tand

ard

ag

reem

ents

, o

r is

new

to

co

llab

ora

tive r

esearc

h,

or

if t

he p

art

ners

have

no

t co

llab

ora

ted

befo

re.

•

Org

anis

atio

ns t

hat

have u

sed

the t

oo

lkit a

s a

tra

inin

g t

oo

l fo

und

it

usefu

l, e

sp

ecia

lly t

o

gain

insig

ht

into

the m

otivatio

ns o

f th

e o

ther

part

y o

r to

sup

po

rt t

heir o

wn p

ositio

n.

•

Ho

wever, ind

ustr

ial sup

po

rt f

or

the t

oo

lkit h

as b

een lackin

g.

Larg

e c

om

panie

s a

re m

ore

likely

to

vie

w t

he a

gre

em

ents

as b

iased

to

ward

s u

niv

ers

itie

s,

and

have a

mo

re n

eg

ative

vie

w o

f th

e p

ote

ntial b

enefits

of

the t

oo

lkit.

SM

Es a

re s

till

dete

rred

by t

he c

osts

and

tim

e

req

uired

fo

r neg

otiatio

n.

The land

scap

e f

or

researc

h c

olla

bo

ratio

n b

etw

een ind

ustr

y a

nd

the r

esearc

h b

ase a

nd

fo

r K

E

mo

re w

idely

has c

ert

ain

ly e

vo

lved

sin

ce t

he t

oo

lkit w

as intr

od

uced

in 2

00

5.

Data

co

llecte

d b

y

the a

nnual

Hig

her

Ed

ucatio

n-B

usin

ess a

nd

Co

mm

unity I

nte

ractio

n S

urv

ey (

HE

-BC

I)5 s

ho

w a

ste

ad

y i

ncre

ase i

n r

esearc

h a

nd

co

ntr

act

inco

me r

eceiv

ed

by U

K u

niv

ers

itie

s.

The c

om

bin

ed

tota

l fo

r co

ntr

act

and

co

llab

ora

tive r

esearc

h w

as £

1.9

 bill

ion i

n 2

01

0-1

1 (

the l

ate

st

year

for

whic

h fi

gure

s a

re a

vaila

ble

).

5

htt

p:/

/ww

w.h

efc

e.a

c.u

k/w

hatw

ed

o/k

es/m

easure

ke/h

eb

ci/

36C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

0

20000

1000

120

100

10

2000

nomeinmiions

uni

ersi

ties

our

eH

Hsu

re

ontra

tres

ear

h

oab

orat

ie

rese

arh

Fig

ure

3.1

- To

tal

valu

e o

f co

llab

ora

tive

and

co

ntra

ct r

esea

rch

inco

me

rece

ived

by

UK

uni

vers

ities

. S

our

ce: H

EF

CE

.

This

has b

een m

atc

hed

by a

co

ntinued

go

vern

ment

co

mm

itm

ent

to f

und

ing

fo

r “t

hird

-str

eam

”

and

kno

wle

dg

e e

xchang

e a

ctivitie

s w

ithin

Eng

lish u

niv

ers

itie

s w

hic

h i

s s

up

po

rted

by H

igher

Ed

ucatio

n Inno

vatio

n F

und

ing

(H

EIF

). A

t th

e tim

e o

f th

e L

am

bert

rep

ort

in 2

00

2-3

, H

EIF

had

only

just

been i

ntr

od

uced

(altho

ug

h i

t w

as b

uild

ing

on p

revio

us s

chem

es)

and

was a

co

mp

etitive

schem

e f

or

sp

ecifi

c p

roje

cts

oft

en b

ring

ing

to

geth

er

gro

up

s o

f univ

ers

itie

s.

HE

IF f

und

ing

has

no

w e

vo

lved

into

a p

erf

orm

ance-b

ased

fund

ing

fo

r in

div

idual u

niv

ers

itie

s, w

ith the to

tal l

evels

fo

r

20

11

-20

15

rin

g fenced

at

£1

50

mill

ion p

a. S

om

e u

niv

ers

itie

s r

eceiv

e n

o H

EIF

fund

ing

, b

ut

tho

se

that

achie

ve a

cert

ain

thre

sho

ld o

f w

eig

hte

d e

xte

rnal

inco

me r

eceiv

e a

n a

mo

unt

based

on a

slid

ing

scale

sta

rtin

g a

t £

25

0k p

a a

nd

cap

ped

at

£2

.85

 mill

ion p

a fo

r th

e 2

3 h

ighest

perf

orm

ing

univ

ers

itie

s.

173

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

37

00

100

10

ota H funding perannuminmiions

ngis

h un

ier

sitie

sou

re

H

erag

efu

ndin

gpe

rann

um

Fig

ure

3.2

- Le

vels

of

tota

l HE

IF f

und

ing

acr

oss

all

Eng

lish

univ

ersi

ties.

This

incre

ase in

activity w

as reflecte

d a

mo

ng

st o

ur surv

ey s

am

ple

, w

here

the le

vels

of in

tera

ctio

n

betw

een b

usin

ess a

nd

univ

ers

ity h

ave g

enera

lly incre

ased

or

sta

yed

ab

out

level sin

ce 2

00

5.

In

part

icula

r, l

eve

ls o

f o

ne

-off

re

se

arc

h c

olla

bo

rati

on

, lo

ng

er

term

str

ate

gic

re

lati

on

sh

ips,

an

d E

uro

pe

an

pro

jec

ts a

re h

igh

er

tha

n i

n 2

00

5,

with m

ore

than 5

0%

of

tho

se a

nsw

ering

this

questio

n d

oin

g m

ore

of

these inte

ractio

ns in e

ach c

ase.

38C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

010200400600800

Numberofrespondents

resp

onde

nts

(n=1

4)

Mor

e

ame

Less

neoff

rese

arh

trateg

i reati

onsh

ips fund

ed pr

oets

s pons

ored

hs

pinou

ts Lien

sing d

eas

onsu

tan

Fig

ure

3.3

- S

ince

the

intr

od

uctio

n o

f th

e to

olk

it in

200

5, a

re y

ou

do

ing

mo

re,

abo

ut t

he s

ame

or

less

o

f th

e fo

llow

ing

typ

es o

f b

usin

ess

– un

iver

sity

inte

ract

ions

?

Data

fro

m t

he O

ffice o

f N

atio

nal

Sta

tistics

6 o

n U

K G

ross D

om

estic E

xp

end

iture

on R

&D

als

o

bro

ad

ly s

up

po

rts t

his

tre

nd

, w

ith t

he a

mo

unt

of

R&

D f

und

ed

by b

usin

ess a

nd

perf

orm

ed

by

hig

her

ed

ucatio

n r

isin

g s

tead

ily fro

m £

25

6 m

illio

n in 2

00

5 t

o £

31

2 m

illio

n in 2

00

8,

altho

ug

h t

his

has d

rop

ped

back d

uring

the r

ecessio

n,

sta

nd

ing

at

£2

84

 mill

ion i

n 2

01

1 (

the l

ate

st

year

for

whic

h fi

gure

s a

re a

vaila

ble

).

Th

e L

am

be

rt t

oo

lkit

is ju

st

on

e p

art

of

a m

uc

h b

igg

er

sh

ift

in t

he

re

lati

on

sh

ips b

etw

ee

n

bu

sin

ess a

nd

th

e r

ese

arc

h b

ase

. T

he p

resence o

f th

e t

oo

lkit h

as c

ert

ain

ly h

elp

ed

so

me

inte

ractio

ns,

and

p

erh

ap

s

hin

dere

d

oth

ers

, fo

r exam

ple

b

y

causin

g

one

sid

e

to

beco

me

entr

enched

in a

part

icula

r p

ositio

n. T

he n

eg

otiatio

n o

f an a

gre

em

ent is

only

one s

mall

part

of th

e

overa

ll re

latio

nship

, and

canno

t o

n i

ts o

wn h

ave a

sig

nifi

cant

effect

on t

he a

mo

unt,

sp

eed

or

ease o

f co

llab

ora

tio

n,

no

r o

n t

he invo

lvem

ent

of

SM

Es in t

he p

rocess.

6

htt

p:/

/ww

w.o

ns.g

ov.

uk/o

ns/r

el/rd

it1

/gro

ss-d

om

estic-e

xp

end

iture

-on-r

esearc

h-a

nd

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pm

ent/

20

11

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-20

11

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l

174

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

39

We h

ave e

xam

ined

ho

w t

he L

am

bert

to

olk

it h

as p

erf

orm

ed

with r

esp

ect

to e

ach o

f th

e s

pecifi

c

ob

jectives t

hat

it w

as d

esig

ned

fo

r:

•

to r

ed

uce t

he t

ime a

nd

effo

rt r

eq

uired

to

secure

ag

reem

ent

•

to f

acili

tate

neg

otiatio

ns b

etw

een p

ote

ntial co

llab

ora

tors

•

to p

rovid

e e

xam

ple

s o

f b

est

pra

ctice

Tim

e, c

ost

and

eff

ort

Pre

vio

us s

urv

eys h

ave g

aug

ed

the a

ttitud

es o

f th

e p

art

icip

ants

to

the p

ote

ntial tim

e a

nd

co

st

benefits

of

usin

g t

he t

oo

lkit.

• A

UR

IL s

urve

y, 2

006:

40

rep

lies

o61

% s

aid

it sa

ved

time

o

• C

BI s

urve

y, 2

006:

39

rep

lies,

11

of

who

m w

ere

aw

are

of

the t

oo

lkit.

Of

these,

o6

said

it s

aved

tim

e

o

• A

UR

IL s

urve

y, 2

009:

10

9 r

ep

lies

o57

% s

aid

it sa

ved

time

o

In this

surv

ey,

we a

sked

a s

eries o

f att

itud

inal q

uestio

ns d

esig

ned

to

exp

lore

ho

w the p

art

icip

ants

felt a

bo

ut

sp

ecifi

c a

sp

ects

of

the L

am

bert

to

olk

it a

nd

neg

otiatio

n o

f re

searc

h c

olla

bo

ratio

ns

mo

re g

enera

lly.

40C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Att

itu

de

ra

tin

gs

The surv

ey o

ffere

d a series o

f sta

tem

ents

w

ith a ra

ting

scale

o

f “s

tro

ng

ly ag

ree”,

“a

gre

e”,

“dis

ag

ree”

or

“str

ong

ly d

isag

ree”.

These w

ere

sco

red

on a

scale

of

-2 (

str

ong

ly d

isag

ree)

to +

2

(str

ong

ly a

gre

e). T

he r

esults a

re g

iven in t

erm

s o

f a r

ating

avera

ge, to

allo

w fo

r easy c

om

pariso

n

betw

een d

iffere

nt sub

-sets

of th

e s

am

ple

with d

iffere

nt sam

ple

siz

es. In

the g

rap

hs w

hic

h fo

llow

,

a p

ositiv

e r

ating

avera

ge ind

icate

s a

gre

em

ent

with t

he s

tate

ment,

and

a n

eg

ative r

ating

avera

ge

ind

icate

s d

isag

reem

ent,

with m

axim

um

po

ssib

le a

vera

ge s

co

res o

f -2

(all

resp

ond

ents

str

ong

ly

dis

ag

ree w

ith t

he s

tate

ment)

or

+2

(all

resp

ond

ents

str

ong

ly a

gre

e w

ith t

he s

tate

ment)

.

00

000

00

100

10

heLa

mbe

rt to

oit

saes

mon

ean

dor

reso

ures

need

edfo

rneg

otia

tion

heLa

mbe

rt to

oit

saes

time

inne

gotia

tion

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

1)

Rat

ing

aer

age

war

e(n

=11

)

sed

Lam

bert

(n=

)

Not

used

Lam

bert

(n=2

6)

Res

ear

hor

gs(n

=4)

M(n

=16)

Larg

eom

pan

(n=1

)

Fig

ure

3.4

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Overa

ll, t

ho

se in t

he s

urv

ey s

am

ple

who

are

aw

are

of

the t

oo

lkit a

gre

e t

hat

it s

aves b

oth

tim

e

and

mo

ney.

62

% a

gre

ed

th

at

it s

ave

s t

ime

an

d 6

3%

th

at

it s

ave

s m

on

ey, a

slig

ht

inc

rea

se

fro

m t

he

ea

rlie

r su

rve

ys (

fig

ure

s s

ho

wn a

bo

ve). R

esp

ond

ents

who

use t

he t

oo

lkit a

re m

uch

mo

re li

kely

to

ag

ree than tho

se w

ho

do

no

t. S

imila

rly,

bo

th S

ME

s a

nd

univ

ers

itie

s a

re m

uch m

ore

likely

to

be p

ositiv

e t

han t

ho

se in larg

e c

om

panie

s.

175

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

41

Cas

e S

tud

y -

Mu

ltip

le a

gre

emen

ts w

ith

min

imal

tim

e an

d e

ffo

rt

In O

cto

ber

20

12

, th

e M

ed

ical R

esearc

h C

ouncil

(MR

C) anno

unced

the s

uccessfu

l ap

plic

ants

in

a g

round

bre

akin

g c

olla

bo

ratio

n w

ith i

nno

vative p

harm

aceutical

co

mp

any A

str

aZ

eneca u

nd

er

whic

h £

7 m

illio

n o

f fu

nd

ing

was m

ad

e a

vaila

ble

fo

r 1

5 researc

h p

roje

cts

. U

nd

er th

e “

Mechanis

ms

of

Dis

ease”

fund

ing

call,

Astr

aZ

eneca m

ad

e 2

2 o

f its c

hem

ical

co

mp

ound

s a

vaila

ble

fre

e-o

f-

charg

e t

o s

cie

ntists

. A

str

aZ

eneca h

ad

co

nd

ucte

d e

arly t

rials

of th

ese c

om

po

und

s a

nd

valid

ate

d

their u

se f

or

futu

re r

esearc

h,

but

had

put

them

on h

old

fo

r fu

rther

develo

pm

ent.

The M

RC

fund

ing

aim

ed

to

exte

nd

the p

ossib

le a

pp

licatio

n o

f th

ese c

om

po

und

s fo

r use in a

bro

ad

rang

e

of co

nd

itio

ns fro

m c

om

mo

n d

iseases lik

e A

lzheim

er’s,

cancer

and

lung

dis

ease t

hro

ug

h t

o r

are

r

co

nd

itio

ns s

uch a

s m

oto

r neuro

ne d

isease a

nd

muscula

r d

ystr

op

hie

s w

ith t

he u

ltim

ate

aim

of

benefitt

ing

patients

. E

ight o

f th

e p

roje

cts

invo

lve c

linic

al (

hum

an) tr

ials

of p

ote

ntial n

ew

thera

pie

s,

and

seven are

fo

cusin

g o

n earlie

r p

reclin

ical

wo

rk.

These p

roje

cts

are

le

d b

y 1

0 d

iffere

nt

univ

ers

itie

s,

and

one P

SR

E.

To

sup

po

rt a

ll th

ese d

iffere

nt

pro

jects

in a

co

nsis

tent

way,

MR

C a

nd

Astr

aZ

eneca a

gre

ed

to

base t

he c

olla

bo

ratio

n c

ontr

acts

on t

he L

am

bert

2 a

gre

em

ent

for

the p

reclin

ical p

roje

cts

, o

r th

e

mo

del In

dustr

y C

olla

bo

rative R

esearc

h A

gre

em

ent

(mIC

RA

) fo

r th

e c

linic

al p

roje

cts

. T

he m

ICR

A

ag

reem

ents

take t

heir a

pp

roach t

o I

P r

ights

fro

m t

he L

am

bert

ag

reem

ents

, so

there

was a

co

nsis

tent

ap

pro

ach t

o IP

ow

ners

hip

thro

ug

ho

ut:

Astr

aZ

eneca r

eta

ins its

exis

ting

rig

hts

rela

ting

to t

he c

om

po

und

s a

nd

any n

ew

researc

h fi

nd

ing

s b

y t

he a

cad

em

ic institu

tio

n a

re o

wned

by t

he

acad

em

ic institu

tio

n.

Astr

aZ

eneca h

as a

no

n-e

xclu

siv

e r

ight

to u

se t

he fi

nd

ing

s fo

r in

tern

al R

&D

only

, and

the r

ight

to n

eg

otiate

an e

xclu

siv

e lic

ence u

nd

er

suitab

le t

erm

s.

By u

sin

g t

hese p

re-

neg

otiate

d a

gre

em

ents

as a

sta

rtin

g p

oin

t, A

str

aZ

eneca w

as a

ble

to

pro

cess a

ll th

e c

ontr

acts

in

reco

rd t

ime a

nd

usin

g o

nly

min

imal sup

po

rt f

rom

their inte

rnal la

wyers

and

IP

team

. T

he m

ain

neg

otiatio

n p

oin

ts t

hat

aro

se w

ere

aro

und

the p

ractical te

rms o

f w

ho

wo

uld

do

what

und

er

the

co

ntr

acts

, ra

ther

than a

ny s

ub

sta

ntive issues.

Chris W

ilks,

the p

roje

ct

manag

er

for

the c

olla

bo

ratio

n w

ithin

Astr

aZ

eneca,

co

mm

ente

d “

Overa

ll

we c

om

ple

ted

15

sep

ara

te c

ontr

acts

within

the t

hre

e m

onth

dead

line,

whic

h is u

np

reced

ente

d

in m

y e

xp

erience.

The o

nly

way t

hat

this

was p

ossib

le w

as b

y u

sin

g t

he L

am

bert

and

mIC

RA

ag

reem

ents

, w

hic

h a

re w

ell

kno

wn a

nd

larg

ely

accep

ted

within

the u

niv

ers

ity c

om

munity.

Fro

m

an A

str

aZ

eneca p

ers

pective,

this

was a

gre

at

success,

and

I h

op

e t

o e

mp

loy t

his

ap

pro

ach

mo

re w

idely

in t

he c

om

pany a

s w

e m

ove t

ow

ard

s a

gre

ate

r use o

f th

is t

yp

e o

f O

pen Inno

vatio

n

to s

up

po

rt o

ur

inte

rnal re

searc

h a

nd

develo

pm

ent.

”

Data

gath

ere

d fro

m t

he in-d

ep

th inte

rvie

ws s

ug

gests

that

there

was a

tend

ency fo

r d

eals

usin

g

Lam

bert

to

be q

uic

ker

on a

vera

ge,

and

fo

r m

ost

of

the lo

ng

est

deals

to

be c

om

ple

ted

in u

nd

er

six

mo

nth

s, co

mp

are

d w

ith o

ver

a y

ear

for

deals

no

t usin

g t

he t

oo

lkit. W

here

there

is a

desire t

o

co

mp

lete

a d

eal q

uic

kly

, ho

wever, t

his

can b

e a

chie

ved

no

matt

er

whic

h s

tart

ing

ag

reem

ent

is

used

.

42C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

0%10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

With

With

out

With

With

out

With

With

out

Aver

age

Fast

est

Slow

est

% of respondents

In d

epth

inte

rvie

wee

s (W

ith n

=16;

With

out n

=24)

Mor

e th

an o

ne y

ear

Six t

o tw

elve

mon

ths

One

to s

ix m

onth

s

One

wee

k to

one

mon

th

Less

than

a w

eek

Fig

ure

3.5

- H

ow

long

did

an

aver

age,

the

fast

est

and

the

slo

wes

t ne

go

tiatio

ns y

ou

have

do

ne t

ake

(in

elap

sed

tim

e) e

ither

with

the

Lam

ber

t to

olk

it (if

ap

pro

pria

te),

or

with

out

it?

The a

gre

em

ent

used

is o

nly

one f

acto

r w

hic

h d

ete

rmin

es t

he s

peed

of

the a

gre

em

ent.

The

facto

r w

hic

h is m

ost

likely

to

result in a

quic

k a

gre

em

ent

is w

here

tw

o p

art

ies h

ave c

olla

bo

rate

d

befo

re, and

so

have p

revio

usly

ag

reed

on the s

ignifi

cant p

oin

ts o

f th

e s

tructu

re o

f th

e a

gre

em

ent.

This

can b

e p

art

icula

rly q

uic

k i

f th

e p

revio

us i

nte

ractio

ns w

ere

based

on t

he L

am

bert

to

olk

it.

Oth

erw

ise, th

e L

am

be

rt a

gre

em

en

ts a

re m

ore

lik

ely

to

be

he

lpfu

l fo

r n

ew

co

lla

bo

rati

on

s

be

twe

en

org

an

isa

tio

ns w

hic

h h

ave

n’t

wo

rke

d t

og

eth

er

be

fore

, w

he

n t

he

de

cis

ion

tre

e

an

d o

utl

ine

str

uc

ture

ca

n h

elp

to

fin

alise

th

ese

po

ints

mo

re e

asily.

It w

ill b

e less h

elp

ful if

the p

art

ies h

ave a

pre

-exis

ting

ag

reem

ent

that

is n

ot

based

on L

am

bert

. A

lso

im

po

rtant

are

the

skill

s and

att

itud

es o

f th

e neg

otiating

p

art

ies,

as w

ell

as exte

rnal

facto

rs such as fu

nd

ing

dead

lines.

Sim

ilar

trend

s w

ere

seen fo

r b

oth

th

e sta

ff co

sts

, and

th

e exte

rnal

leg

al

co

sts

asso

cia

ted

with these d

eals

, w

here

ag

ain

the m

ost exp

ensiv

e a

nd

avera

ge c

osts

were

imp

roved

by u

sin

g L

am

bert

, b

ut

little d

iffere

nce c

ould

be d

iscern

ed

fo

r th

e c

heap

est

deals

.

176

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

43

010200400600800

100

ithith

out

ithith

out

ithith

out

erag

ehe

apes

tM

ost

pens

ie

ofrespondents

nde

pth

inte

rie

wee

s(

ith n

=12

ithou

tn=1

)

taff

hour

s

Mor

eth

anda

s

2da

s

12

das

Less

than

1da

010200400600800

100

ithith

out

ithith

out

ithith

out

erag

ehe

apes

tM

ost

pens

ie

ofrespondents

nde

pth

inte

rie

wee

s(

ith n

=ith

outn

=11)

utof

po

etos

ts

Mor

eth

an00

0

200

100

0

012

000

Less

than

00

Fig

ure

3.6

- W

hat

is t

he c

ost

in a

ctua

l sta

ff h

our

s an

d e

xter

nal l

egal

co

sts

for

an a

vera

ge,

the

fas

test

an

d t

he s

low

est

neg

otia

tions

yo

u ha

ve d

one

eith

er w

ith t

he L

amb

ert

too

lkit

(if a

pp

rop

riate

), o

r w

itho

ut

it?

44C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Within

th

e w

ider

surv

ey,

7

0%

o

f th

e p

art

icip

an

ts a

gre

ed

th

at

ne

go

tia

tio

ns a

re o

fte

n

extr

em

ely

le

ng

thy a

nd

co

stl

y –

mirro

ring

the a

ttitud

es f

ound

by t

he o

rig

inal Lam

bert

revie

w.

00

000

00

100

10

hest

reng

thof

are

sear

ho

abor

atio

n is

wea

ened

ifne

gotia

tion

isdi

ffiu

t or

engt

h

Neg

otia

tions

oer

oab

orat

ie

rese

arh

are

ofte

ne

trem

een

gth

and

ost

resp

onde

nts

(n=1

82)

Rat

ing

aer

age

resp

onde

nts

(n=1

82)

war

e(n

=12

)

Not

awar

e(n

=)

sed

Lam

bert

(n=

1)

Not

used

Lam

bert

(n=

2)

Res

ear

hor

gs(n

=8)

M(n

=2)

Larg

eom

pan

(n=

8)

Fig

ure

3.7

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Ho

wever, o

nly

65

% o

f th

ose w

ho

were

aw

are

of Lam

bert

ag

reed

, co

mp

are

d w

ith 8

0%

of th

ose

who

are

no

t aw

are

, and

there

was a

lso

a p

ositiv

e d

iffere

nce b

etw

een t

ho

se w

ho

do

and

tho

se

who

do

no

t use t

he t

oo

lkit.

This

sug

gests

that

the

to

olk

it h

as h

ad

so

me

po

sit

ive

eff

ec

t o

n

the

ti

me

a

nd

c

ost

of

ne

go

tia

tio

ns.

There

w

as als

o ag

reem

ent

within

th

e sam

ple

th

at

a

co

llab

ora

tio

n c

an b

e w

eakened

by l

eng

thy a

nd

diffi

cult n

eg

otiatio

ns.

In s

om

e c

ircum

sta

nces,

tho

ug

h th

e o

pp

osite can b

e th

e case,

with a p

rotr

acte

d neg

otiatio

n enab

ling

all

part

ies to

beco

me c

om

fort

ab

le w

ith t

he issues t

hat

are

im

po

rtant

to t

he o

ther

sid

e,

and

str

eng

thenin

g t

he

basis

of

the w

ork

. In

oth

er

cases,

the n

eg

otiatio

n i

s c

arr

ied

out

by c

ontr

acts

sta

ff,

and

any

diffi

cultie

s d

o n

ot

affect

the r

esearc

hers

them

selv

es a

nd

so

do

no

t in

fluence t

he c

olla

bo

rative

wo

rk.

Where

the n

eg

otiatio

n g

ives insig

ht

into

the m

otivatio

ns o

f th

e c

olla

bo

rating

part

ies a

nd

into

what

is im

po

rtant

to t

hem

, th

is c

an o

nly

enhance t

he r

ela

tio

nship

. T

his

po

int

has little e

ffect

on t

he s

uccess o

r o

therw

ise o

f a n

eg

otiatio

n o

r th

e f

ollo

win

g c

olla

bo

rative r

ela

tio

nship

.

The im

plic

atio

n o

f re

ducin

g t

he c

osts

and

tim

e invo

lved

with d

eal neg

otiatio

n w

as t

hat

it w

ould

feed

thro

ug

h into

a h

igher

cap

acity f

or

deal m

akin

g,

to m

ore

deals

bein

g c

onclu

ded

, and

to

a

red

uctio

n in

the lo

st o

pp

ort

unity c

osts

fro

m d

ela

ys in

sta

rtin

g the researc

h. In

our

surv

ey s

am

ple

,

37

% o

f th

e s

am

ple

wh

o a

re a

wa

re o

f th

e t

oo

lkit

ag

ree

th

at

the

ca

pa

cit

y f

or

de

al-

ma

kin

g

ha

s in

cre

ase

d s

inc

e its

in

tro

du

cti

on

. A

gain

, th

ose w

ho

have u

sed

Lam

bert

are

less lik

ely

to

dis

ag

ree w

ith t

he s

tate

ments

.

177

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

45

10

100

00

000

00

ine

the

intro

dutio

n of

the

Lam

bert

too

itm

orga

nisa

tion

has

ente

red

into

mor

e re

sear

ho

abor

atio

ns

ine

the

intro

dutio

n of

the

Lam

bert

too

it t

heap

ait

for

dea

ma

ing

has

inre

ased

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=

)

Rat

ing

erag

e

war

e(n

=)

sed

Lam

bert

(n=

)

Not

used

Lam

bert

(n=2

2)

Res

ear

hor

gs(n

=62)

M(n

=11)

Larg

eom

pan

(n=1

6)

Fig

ure

3.8

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

The level o

f d

isag

reem

ent

with t

hese s

tate

ments

is p

rob

ab

ly a

lso

because t

he p

art

icip

ants

do

no

t re

co

gnis

e a

sig

nifi

cant

causal effect

betw

een t

he t

oo

lkit a

nd

these m

easure

s,

even t

ho

ug

h

els

ew

here

in t

he s

urv

ey t

hey r

ep

ort

that

they a

re d

oin

g m

ore

of

many c

ate

go

ries o

f re

searc

h

co

llab

ora

tio

n (see F

igure

3.3

), a

nd

so

are

no

t actu

ally

answ

ering

the q

uestio

n a

s w

ritt

en.

Oth

er

facto

rs,

inclu

din

g t

he e

xte

rnal eco

no

mic

enviro

nm

ent,

have a

much larg

er

effect.

It

is a

lso

lik

ely

to r

eflect

the f

act

that

Lam

bert

is n

ot

used

fo

r a h

igh p

rop

ort

ion o

f d

eals

, and

so

has n

ot

had

a

sig

nifi

cant

overa

ll effect

on d

eal-

makin

g c

ap

acity.

46C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Imp

rove

d n

ego

tiat

ion

In t

he p

revio

us s

urv

eys,

• A

UR

IL s

urve

y, 2

006:

40

rep

lies

o

• C

BI s

urve

y, 2

006:

39

rep

lies,

11

of

who

m w

ere

aw

are

of

the t

oo

lkit.

Of

these,

o

• A

UR

IL s

urve

y, 2

009:

10

9 r

ep

lies

o

100

00

000

00

100

eane

gotia

tions

usin

gLa

mbe

rtar

ees

s i

eto

fai

heLa

mbe

rt to

oit

sim

pifi

esth

epr

oes

sof

onst

rutin

gon

trats

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

16)

Rat

ing

erag

e

war

e(n

=116

)

sed

Lam

bert

(n=

1)

Not

used

Lam

bert

(n=2

)

Res

ear

hor

gs(n

=1)

M(n

=16)

Larg

eom

pan

(n=1

)

Fig

ure

3.9

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

On a

vera

ge,

79

% o

f o

ur

sa

mp

le w

ho

we

re a

wa

re o

f th

e t

oo

lkit

ag

ree

d t

ha

t it

sim

plifi

es

the

pro

ce

ss o

f c

on

str

uc

tin

g c

on

tra

cts

. A

gain

, th

ose w

ho

use t

he t

oo

lkit a

re m

uch m

ore

likely

to

ag

ree t

han t

ho

se w

ho

do

no

t. L

arg

e c

om

panie

s a

lso

ag

ree less s

tro

ng

ly,

but

even h

ere

they d

o a

gre

e t

hat

the t

oo

lkit c

an s

imp

lify t

he p

rocess,

one o

f th

e b

enefits

of

the t

oo

lkit t

hat

receiv

es a

cro

ss t

he b

oard

sup

po

rt.

“It

wor

ks s

o w

ell w

hen

bot

h si

des

wan

t to

use

it”

– U

niv

ers

ity

“We’

re t

hank

ful

for

this

res

ourc

e. I

t ta

kes

away

ad

min

istr

ativ

e b

arrie

rs t

o en

gagi

ng w

ith

univ

ersi

ties

and

sp

urs

us t

o co

llab

orat

e an

d in

nova

te w

ith p

artn

ers”

- S

ME

178

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

47

On t

he o

ther

hand

, m

ost

of th

e r

esp

ond

ents

dis

ag

ree t

hat

the u

se o

f th

e L

am

bert

ap

pro

ach w

ill

make a

deal l

ess li

kely

to

fail.

In p

ractice, very

few

deals

actu

ally

fall

thro

ug

h a

nd

where

this

do

es

hap

pen,

it i

s t

hro

ug

h e

xte

rnal

facto

rs s

uch a

s t

he l

oss o

f fu

nd

ing

, o

r fa

ilure

to

find

a s

uitab

le

researc

her

rath

er

than t

hro

ug

h d

isag

reem

ent

over

the c

ontr

act

neg

otiatio

ns.

Where

tw

o p

art

ies

wis

h t

o c

onclu

de a

deal, t

hen a

so

lutio

n w

ill b

e f

ound

to

any o

f th

e c

ontr

act

issues t

hat

arise.

Only

one r

esp

ond

ent

rep

ort

ed

that

they w

ere

aw

are

of

any d

isp

ute

s,

leg

al challe

ng

es o

r case

law

arisin

g f

rom

deals

based

on a

ny o

f th

e L

am

bert

ag

reem

ents

, and

did

no

t le

ave a

ny f

urt

her

deta

ils o

r co

nta

ct

deta

ils fo

r fo

llow

up

. S

evera

l p

eo

ple

als

o m

entio

ned

that

they w

ere

no

t aw

are

of

any b

ased

on o

ther

ag

reem

ents

either. A

t th

e r

esearc

h s

tag

e,

dis

pute

s a

re u

nlik

ely

to

have

serio

us c

onseq

uences,

and

will

mo

st

oft

en r

esult in t

he t

erm

inatio

n o

f th

e c

olla

bo

ratio

n,

rath

er

than a

ny m

ore

far-

reachin

g fi

nancia

l effects

. B

efo

re t

he i

ntr

od

uctio

n o

f th

e t

oo

lkit,

there

had

been a

t le

ast

two

dis

pute

s o

ver

ow

ners

hip

of

IP in a

busin

ess-u

niv

ers

ity r

esearc

h c

olla

bo

ratio

n

that

reached

the c

ourt

s (

IDA

Ltd

v U

niv

ers

ity o

f S

outh

am

pto

n7,

and

Cyp

rote

x D

isco

very

Ltd

v

Univ

ers

ity o

f S

heffi

eld

8). W

hils

t w

e h

ave n

ot

do

ne a

tho

roug

h s

earc

h,

we a

re n

ot

aw

are

of

any

evid

ence o

f la

ter

co

urt

pro

ceed

ing

s,

whic

h s

ug

gests

that

bo

th s

ides o

f th

ese n

eg

otiatio

ns a

re

no

w m

uch m

ore

aw

are

of

the issues invo

lved

and

will

ensure

that

IP o

wners

hip

pro

vis

ions a

re

ag

reed

befo

rehand

and

mad

e e

xp

licit w

ithin

the c

ontr

act,

wheth

er

this

is a

Lam

bert

tem

pla

te o

r

an a

ltern

ative.

The e

xp

licit n

atu

re o

f th

e I

P p

rincip

les b

ehin

d t

he L

am

bert

ap

pro

ach w

ill h

ave

help

ed

to

cata

lyse t

his

und

ers

tand

ing

.

Bes

t p

ract

ice

In t

he 2

00

9 A

UR

IL s

urv

ey,

33

% s

aid

the t

oo

lkit r

esulted

in b

ett

er

co

ntr

acts

, and

60

% t

hat

it

pro

vid

ed

usefu

l in

form

atio

n. 0

00

000

01

001

0

heto

oit

repr

esen

tsan

inde

pend

ent

neut

ra s

tarti

ngpo

intf

orne

gotia

tions

heLa

mbe

rtto

oit

pro

ides

usef

uin

form

atio

nan

dpr

eed

ents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

18)

Rat

ing

erag

e

war

e(n

=118

)

sed

Lam

bert

(n=

0)

Not

used

Lam

bert

(n=2

8)

Res

ear

hor

gs(n

=2)

M(n

=16)

Larg

eom

pan

(n=1

)

Fig

ure

3.10

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

7

R.P

.C.

(20

06

) 1

23

(17

): 5

67

-57

9.

8

R.P

.C.

(20

04

) 1

21

(23

): 8

87

-91

1;

Co

urt

of

Ap

peal: [2

00

4] E

WC

A C

iv 3

80

.

48C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

In o

ur

surv

ey,

this

pro

po

rtio

n h

as r

isen a

nd

no

w 8

0%

of

tho

se

wh

o a

re a

wa

re o

f L

am

be

rt

ag

ree

d t

ha

t th

e t

oo

lkit

pro

vid

es u

se

ful

info

rma

tio

n a

nd

pre

ce

de

nts

. T

his

is w

here

we

found

the g

reate

st

sup

po

rt f

or

the p

ositiv

e b

enefits

of

the t

oo

lkit.

Fo

r univ

ers

itie

s in p

art

icula

r,

the p

rincip

les o

f th

e t

oo

lkit c

an b

e v

ery

usefu

l to

pro

vid

e e

xte

rnal verificatio

n t

hat

the p

ositio

n

they

are

ta

kin

g

is

“reaso

nab

le”,

allo

win

g

them

to

m

anag

e

part

ner

exp

ecta

tio

ns

with

an

auth

orita

tive t

oo

l. T

his

vie

w o

f th

e a

gre

em

en

ts a

s b

ein

g i

nd

ep

en

de

nt

an

d n

eu

tra

l w

as

su

pp

ort

ed

by 7

2%

, and

was c

ited

by b

oth

univ

ers

itie

s a

nd

larg

e c

om

panie

s a

s b

ein

g p

art

icula

rly

help

ful in

their d

ealin

gs w

ith S

ME

s w

ho

may n

ot

have d

one a

ny c

olla

bo

rative r

esearc

h b

efo

re. It

pro

vid

es c

om

fort

that

what

the S

ME

is b

ein

g a

sked

to

sig

n is a

reaso

nab

le c

om

pro

mis

e,

and

that

the larg

er

mo

re e

xp

erienced

part

ner

is n

ot

“takin

g a

dvanta

ge”

of

their p

ositio

n.

Many a

lso

found

the a

gre

em

ents

a u

sefu

l so

urc

e o

f cla

uses o

n s

pecifi

c issues w

hic

h t

hey c

an r

euse w

ithin

their o

wn o

r o

ther

ag

reem

ents

.

“Lam

ber

t ag

reem

ents

can

be

used

to

sup

por

t p

ositi

ons

bec

ause

of

the

auth

ority

tha

t th

ey

have

. Th

eir

pre

senc

e on

the

IP

O w

ebsi

te g

ives

the

m a

cre

dib

ility

with

par

tner

s in

ind

ustr

y”

- U

niv

ers

ity

100

00

000

00

100

here

are

noom

mon

grou

ndru

eson

ow

ners

hip

ino

abor

ati

ere

sear

h(

amp

ere

spon

dent

sn=

181)

heag

reem

ents

repr

esen

tbe

stpr

ati

ein

us

ines

sR

esea

rh

oab

orat

ion

(am

pe

Res

pond

ents

who

are

awar

eof

Lam

bert

n=11

)

Rat

ing

erag

e

resp

onde

nts

(n=1

81)

war

e(n

=11

)

Not

awar

e(n

=60)

sed

Lam

bert

(n=8

8)

Not

used

Lam

bert

(n=2

)

Res

ear

hor

gs(n

=0

)

M(n

=16

1)

Larg

eom

pan

(n=2

0)

Fig

ure

3.11

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Sup

po

rt f

or

the t

oo

lkit a

s r

ep

resenting

“b

est

pra

ctice”

was w

eaker

(55

% a

gre

em

ent)

, ag

ain

part

icula

rly am

ong

st

tho

se w

ho

have no

t used

Lam

bert

and

th

e la

rge co

mp

anie

s.

Many

co

mm

ente

d t

hat

there

is n

o s

uch t

hin

g a

s b

est

pra

ctice i

n r

esearc

h c

olla

bo

ratio

ns,

as e

ach

ind

ivid

ual

situatio

n i

s d

iffere

nt

and

sho

uld

be t

reate

d o

n i

ts o

wn m

erits

. S

imila

rly,

55

% o

f th

e

sam

ple

ag

reed

th

at

there

are

no

co

mm

on “g

round

ru

les”

on IP

o

wners

hip

in

co

llab

ora

tive

researc

h.

Reflecting

the r

esults f

ound

ab

out

usag

e,

the

to

olk

it w

as o

fte

n s

ee

n a

s a

go

od

so

lid

fo

un

da

tio

n a

s a

sta

rtin

g p

oin

t fo

r n

eg

oti

ati

on

s,

or

a s

ou

rce

of

cla

use

s t

ha

t c

ou

ld

he

lp t

o r

eso

lve

a p

art

icu

lar

ne

go

tia

tio

n p

oin

t, r

ath

er

tha

n a

pa

ck

ag

e o

f b

est

pra

cti

ce

in

its o

wn

rig

ht.

179

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

49

“It

is h

elp

ful

to h

ave

a su

ite o

f m

odel

doc

umen

ts t

hat

can

be

used

in

the

first

ins

tanc

e to

gu

ide

the

par

ties

thro

ugh

a p

artic

ular

res

earc

h co

llab

orat

ion

but

I ca

n’t

reca

ll ev

er a

gree

ing

to a

mod

el a

gree

men

t th

at h

asn’

t b

een

chan

ged

in

som

e w

ay.

The

natu

re o

f re

sear

ch

cont

ract

s is

suc

h th

at e

very

pro

ject

and

dea

l will

hav

e its

ow

n nu

ance

s, s

o th

e ne

ed t

o m

ake

bes

pok

e ch

ange

s sh

ould

ne

ver

be

und

eres

timat

ed

and

w

ill

alw

ays

dep

end

on

th

e ci

rcum

stan

ces.

” – R

ussell

Gro

up

Univ

ers

ity

End

ors

emen

t

00

000

00

100

10

heag

reem

ents

repr

esen

tafa

irba

ane

betw

een

usin

ess

and

Res

ear

hrg

anis

atio

nin

tere

sts

heto

oit

isa

uab

e be

ause

ofth

e en

dors

emen

tith

asre

eied

from

both

nier

sit

and

usin

ess

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

1)

Rat

ing

erag

e

war

e(n

=11

)

sed

Lam

bert

(n=

1)

Not

used

Lam

bert

(n=2

8)

Res

ear

hor

gs(n

=4)

M(n

=16)

Larg

eom

pan

(n=1

)

Fig

ure

3.12

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

The u

niq

ue w

ay t

hat

the L

am

bert

ag

reem

ents

were

derived

was e

xp

ecte

d t

o g

ive r

ise t

o a

set

of

too

ls th

at

was end

ors

ed

b

y b

oth

th

e re

searc

h and

in

dustr

ial

co

mm

unitie

s.

This

asp

ect

was

reco

gnis

ed

by t

he s

urv

ey s

am

ple

, ho

wever

in p

ractice m

any felt t

hat

ind

ustr

ial su

pp

ort

fo

r th

e

too

lkit

ha

s b

ee

n l

ac

kin

g.

Ind

eed

, w

hile

64

% o

f th

e r

esp

ond

ents

who

are

aw

are

of

Lam

bert

ag

reed

th

at

too

lkit is

valu

ab

le b

ecause o

f th

is end

ors

em

ent,

o

nly

3

9%

o

f th

ose fr

om

la

rge

co

mp

anie

s ag

reed

. S

evera

l o

f th

e co

mp

anie

s w

hic

h w

ere

p

art

o

f th

e w

ork

ing

g

roup

s have

sub

seq

uently n

ot

taken u

p t

he a

gre

em

ents

, and

as c

an b

e s

een fro

m a

ll th

e a

ttitud

inal q

uestio

ns

in t

his

chap

ter, r

esp

ond

ents

fro

m larg

e c

om

panie

s g

enera

lly h

ave a

much m

ore

neg

ative v

iew

of

the to

olk

it than the rest o

f the s

urv

ey s

am

ple

. T

hey a

re a

lso

much m

ore

likely

to

vie

w the a

gre

em

ents

as b

iased

to

ward

s t

he u

niv

ers

ity,

and

no

t re

flect

co

mm

erc

ially

accep

tab

le t

erm

s.

Only

40

% o

f

tho

se in

larg

e c

om

panie

s feel t

he a

gre

em

ents

rep

resent a fair b

ala

nce, co

mp

are

d w

ith 7

3%

of th

e

sam

ple

who

are

aw

are

of

Lam

bert

. T

hese v

iew

s a

re e

xp

lore

d in m

ore

dep

th in C

hap

ter

4.

Th

e

en

do

rse

me

nt

rec

eiv

ed

fro

m t

he

un

ive

rsit

y s

ec

tor

ha

s b

ee

n m

ore

as t

he

ir c

om

pro

mis

e

po

sit

ion

, ra

the

r th

an

th

eir

pre

ferr

ed

ch

oic

e.

50C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

“Des

pite

the

“en

dor

sem

ent”

fro

m b

oth

univ

ersi

ties

and

bus

ines

ses,

thi

s ha

s ne

ver

bee

n ac

cep

ted

as

a va

luab

le r

atio

nale

or

argu

men

t fo

r us

ing

the

Lam

ber

t to

olki

t. If

bus

ines

ses

are

to e

ndor

se t

he t

oolk

it, t

hey

need

to

use

it an

d a

ccep

t its

use

the

mse

lves

- p

rop

osin

g d

ocum

ents

tha

t lo

ok r

adic

ally

diff

eren

t se

em t

o m

ake

a m

ocke

ry o

f th

eir

end

orse

men

t in

p

ract

ice.

” – R

ussell

Gro

up

Univ

ers

ity

Where

oth

er

tem

pla

te a

gre

em

ents

have p

roved

successfu

l and

po

pula

r, t

his

has s

om

etim

es

been a

cco

mp

anie

d b

y a

pub

lic p

ositiv

e e

nd

ors

em

ent,

wheth

er

this

is n

atio

nal as in t

he c

ase o

f

the B

runsw

ick a

gre

em

ents

fo

r in

ter-

univ

ers

ity c

olla

bo

ratio

n,

or

inte

rnatio

nal in

the c

ase o

f th

e

Unifo

rm B

iolo

gic

al M

ate

rial T

ransfe

r A

gre

em

ent.

So

me fo

rm o

f vo

lunta

ry p

ub

lic a

ckno

wle

dg

em

ent

that

a p

art

icula

r o

rganis

atio

n i

s w

illin

g t

o b

ase t

heir n

eg

otiatio

ns o

n t

he L

am

bert

ag

reem

ents

and

p

rincip

les w

ould

b

e valu

ab

le in

re

info

rcin

g th

e m

essag

e th

at

the ag

reem

ents

w

ill b

e

accep

tab

le,

and

allo

w o

rganis

atio

ns t

o m

ake d

ecis

ions a

bo

ut

their r

esearc

h p

art

ners

in t

he

kno

wle

dg

e th

at

they can sta

rt neg

otiatio

ns fr

om

a kno

wn te

mp

late

. To

b

e in

fluential, th

is

ackno

wle

dg

em

ent

sho

uld

b

e ad

min

iste

red

b

y an in

dep

end

ent

bo

dy,

as is

th

e case fo

r th

e

UB

MTA

.

Cas

e S

tud

y -

Uni

form

Bio

log

ical

Mat

eria

ls T

rans

fer

Ag

reem

ent

(UB

MTA

)

In 1

99

5,

the U

S N

atio

nal In

stitu

tes o

f H

ealth led

an initia

tive t

o d

evelo

p a

sta

nd

ard

ag

reem

ent

for

the t

ransfe

r and

use o

f b

iolo

gic

al m

ate

rials

betw

een U

S r

esearc

h institu

tio

ns.

The a

im w

as

to p

rod

uce a

sim

ple

ag

reem

ent,

whic

h c

ould

be p

ub

licly

end

ors

ed

by a

ny o

rganis

atio

n w

hic

h

ag

reed

to

use i

t. T

his

resulted

in t

he p

ub

licatio

n o

f th

e U

nifo

rm B

iolo

gic

al

Mate

rial

Tra

nsfe

r

Ag

reem

ent

(UB

MTA

) and

a

Sim

ple

Lett

er

Ag

reem

ent

for

the

Tra

nsfe

r o

f N

on-P

rop

rieta

ry

Bio

log

ical M

ate

rial. F

or

institu

tio

ns t

hat

have s

igned

the U

BM

TA

Maste

r A

gre

em

ent,

mate

rials

can b

e t

ransfe

rred

und

er

the t

erm

s o

f th

e U

BM

TA

up

on e

xecutio

n o

f an Im

ple

menting

Lett

er

for

the p

art

icula

r tr

ansfe

r. T

here

is

als

o a vers

ion o

f th

e U

BM

TA

w

hic

h can b

e used

b

etw

een

co

mp

anie

s a

nd

univ

ers

itie

s.

The A

sso

cia

tio

n o

f U

niv

ers

ity T

echno

log

y M

anag

ers

(A

UT

M)

in t

he U

S a

gre

ed

to

serv

e a

s t

he

rep

osito

ry f

or

the s

igned

UB

MTA

Maste

r A

gre

em

ents

fro

m t

ho

se institu

tio

ns w

ho

ag

ree t

o u

se

the U

BM

TA

fo

r so

me o

r all

of

their e

xchang

es o

f b

iolo

gic

al m

ate

rials

. A

UT

M p

osts

a lis

ting

on

their w

eb

site inclu

din

g:

the n

am

e o

f th

e institu

tio

n,

the n

am

e a

nd

title

of

the o

fficia

l sig

nato

ry,

and

the d

ate

the M

aste

r A

gre

em

ent

was s

igned

. A

ltho

ug

h t

his

was a

US

initia

tive,

the c

urr

ent

list

of

49

0 sig

nato

ries in

clu

des in

stitu

tes fr

om

all

aro

und

th

e w

orld

, in

clu

din

g severa

l U

K

univ

ers

itie

s a

nd

researc

h institu

tes.

The

com

ple

te

list

of

sig

nato

ries

can

be

seen

at:

http:/

/ww

w.a

utm

.net/

Maste

r_U

BM

TA

_

Sig

nato

ries/1

0618.h

tm

180

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

51

Ed

ucat

ion

A s

eco

nd

ary

aim

of

the t

oo

lkit w

as t

o c

lose t

he g

ap

betw

een t

he m

ore

and

less “

IP-c

ap

ab

le”

univ

ers

itie

s.

Tho

se w

ho

have b

een invo

lved

with r

esearc

h c

olla

bo

ratio

n f

or

5-1

0 y

ears

, and

so

were

lik

ely

to

have e

nte

red

the p

rofe

ssio

n a

t ab

out

the t

ime t

he t

oo

lkit w

as intr

od

uced

, have t

he

hig

hest

aw

are

ness o

f th

e t

oo

lkit,

at

85

%.

100

00

000

00

100

heus

eof

the

too

itm

aes

itm

ore

ie

that

dea

sw

ibe

onud

ed w

ith e

sse

perie

ned

indi

idua

sor

orga

nisa

tions

(am

pe

Res

pond

ents

who

are

awar

eof

Lam

bert

n=10

2)

Man

nier

sitie

s do

not

hae

suita

btra

ined

sta

ffto

nego

tiate

oab

orat

ie

agre

emen

ts(

amp

e

resp

onde

nts

n=18

0)

Rat

ing

erag

e

resp

onde

nts

(n=1

80)

war

e(n

=121

102)

Not

awar

e(n

=)

sed

Lam

bert

(n=

1 8

1)

Not

used

Lam

bert

(n=

0 2

1)

Res

ear

hor

gs(n

=8

62)

M(n

=1

12)

Larg

eom

pan

(n=

818

)

Fig

ure

3.13

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

There

rem

ain

s a

genera

l p

erc

ep

tio

n t

hat

univ

ers

itie

s d

o n

ot

have s

taff w

ith s

uitab

le t

rain

ing

to

successfu

lly n

eg

otiate

researc

h c

olla

bo

ratio

ns,

altho

ug

h a

s m

ight

be e

xp

ecte

d t

his

perc

ep

tio

n

is lo

wer

am

ong

st

the r

esearc

h o

rganis

atio

ns t

hem

selv

es. S

evera

l re

sp

ond

ents

co

mm

ente

d t

hat

this

had

im

pro

ved

in r

ecent

years

, and

pro

gre

ss a

pp

ears

to

be i

n t

he r

ight

directio

n.

Oth

ers

co

mm

ente

d t

hat

the lack o

f tr

ain

ing

is a

lso

no

tab

le in s

om

e c

om

panie

s,

where

neg

otiatio

n c

an

be d

ele

gate

d t

o t

ho

se w

ho

do

no

t have t

he a

uth

ority

to

make c

hang

es t

o t

he d

eal. I

t w

as

no

ticeab

le t

hat

the a

nsw

er

to t

his

questio

n w

as m

ost

po

larised

betw

een t

ho

se w

ho

have u

sed

Lam

bert

(4

7%

) and

tho

se w

ho

do

no

t (7

7%

), s

o p

erh

ap

s in t

his

insta

nce t

he

to

olk

it h

as h

ad

an

eff

ec

t o

n m

ak

ing

it

ea

sie

r to

co

nc

lud

e d

ea

ls w

ith

le

ss e

xp

eri

en

ce

d i

nd

ivid

ua

ls.

The m

ain

so

urc

e o

f tr

ain

ing

fo

r th

e s

urv

ey s

am

ple

is o

n-t

he-j

ob

tra

inin

g a

nd

mento

ring

, and

just

und

er

half o

f th

ose r

eceiv

ing

this

typ

e o

f tr

ain

ing

were

intr

od

uced

to

the L

am

bert

to

olk

it t

hro

ug

h

this

mento

ring

, re

flecting

the p

rop

ort

ions o

f o

rganis

atio

ns (4

5%

) th

at are

usin

g the to

olk

it. W

ithin

the u

niv

ers

ity s

ecto

r, t

he P

raxis

Unic

o c

ours

es (

part

icula

rly t

heir “

Researc

h C

ontr

acts

” co

urs

e)

are

a c

om

mo

n s

ourc

e o

f tr

ain

ing

, and

this

co

urs

e d

oes h

ave a

sessio

n o

n m

od

el ag

reem

ents

,

inclu

din

g L

am

bert

. H

ow

ever, t

here

are

lim

ited

op

po

rtunitie

s f

or

bo

th u

niv

ers

ity a

nd

ind

ustr

y

neg

otiato

rs t

o c

om

e t

og

eth

er

on t

he s

am

e t

rain

ing

co

urs

es o

r w

ork

sho

ps w

here

they c

ould

benefit

mo

st

fro

m le

arn

ing

ab

out

each o

thers

p

ers

pectives.

The p

rovis

ion o

f m

ore

sp

ecifi

c

train

ing

, w

ork

sho

ps o

r ad

vic

e o

n ho

w to

use th

e Lam

bert

to

olk

it w

ould

als

o help

to

ra

ise

aw

are

ness o

f th

e r

eso

urc

e.

52C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

020406080100

120

140

160

Numberofrespondents

resp

onde

nts

(n=1

6)

ouro

rgan

isat

ion

ou

Ref

ers

toLa

mbe

rt

Fig

ure

3.14

- W

hat

form

s o

f tra

inin

g fo

r th

ose

invo

lved

in r

esea

rch

colla

bo

ratio

n ne

go

tiatio

ns a

re u

sed

b

y yo

ur o

rgan

isat

ion,

or h

ave

you

rece

ived

, and

whi

ch o

f the

se m

akes

refe

renc

e to

the

Lam

ber

t to

olk

it?

It i

s i

mp

ort

ant

that

sta

ff d

o n

ot

sim

ply

have a

dm

inis

trative t

rain

ing

, b

ut

gain

insig

ht

into

the

co

mm

erc

ial co

ncern

s o

f a c

om

pany,

or

vic

e v

ers

a into

the s

etu

p a

nd

philo

so

phy o

f a u

niv

ers

ity.

The g

uid

ance n

ote

s,

outlin

e a

nd

decis

ion g

uid

e c

an b

e u

sed

as t

oo

ls t

o t

ake a

part

ner

thro

ug

h

the im

po

rtant

issues.

Fo

r so

me,

this

is a

very

im

po

rtant

po

int,

with t

rain

ing

and

insig

ht

on b

oth

sid

es s

een a

s m

ore

imp

ort

ant th

an the s

tand

ard

ag

reem

ents

them

selv

es. T

his

is p

art

icula

rly tru

e

for

less e

xp

erienced

neg

otiato

rs,

whils

t so

meo

ne m

ore

exp

erienced

is lik

ely

to

be a

ware

of

the

imp

ort

ant

issues a

nd

of w

ays t

o d

eal w

ith t

hem

. In

the s

am

ple

who

are

aw

are

of Lam

bert

, 7

2%

felt

th

at

the

to

olk

it g

ave

a

u

se

ful

insig

ht

into

th

e m

oti

va

tio

ns o

f th

e o

the

r p

art

y,

pa

rtic

ula

rly w

ith

in th

e S

ME

se

cto

r (8

9%

) w

hic

h is

lik

ely

to

b

e th

e le

ast

exp

erienced

in

researc

h c

olla

bo

ratio

n a

nd

IP

issues.

The s

urv

ey s

am

ple

neither

ag

reed

no

r d

isag

reed

ho

wever

that

this

had

fed

thro

ug

h into

a g

reate

r und

ers

tand

ing

of th

e n

eed

s o

f each s

ide,

and

dis

ag

reed

that

it h

ad

led

to

mo

re r

ealis

tic e

xp

ecta

tio

ns f

or

co

llab

ora

tio

ns.

“The

issu

e is

not

one

of d

iffer

ent s

tand

ard

term

s, b

ut o

f ed

ucat

ion

and

org

anis

atio

nal a

ttitu

de,

w

hich

are

the

gre

ates

t d

eter

min

ants

in n

egot

iatio

ns o

f re

sear

ch c

ontr

acts

” – L

aw

yer

181

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

53

100

00

000

00

100

ine

the

intro

dutio

n of

the

Lam

bert

too

itpa

rtner

sha

ea

mor

e re

ais

tie

peta

tion

ofre

sear

ho

abor

atio

ns (n

=102

)

ine

the

intro

dutio

n of

the

Lam

bert

too

it t

here

isgr

eate

rund

erst

andi

ngof

the

need

sof

bot

hni

ersi

tan

dus

ines

s (n

=10

)

heus

eof

the

outi

nean

dde

isio

ngu

ide

gies

insi

ght

into

the

mot

iat

ions

ofth

eot

herp

art

(n=8

)

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=8

)

Rat

ing

erag

e

war

e(n

=810

102)

sed

Lam

bert

(n=

081

80)

Not

used

Lam

bert

(n=1

2222

)

Res

ear

hor

gs(n

=8

664

)

M(n

=12

12)

Larg

eom

pan

(n=1

1616

)

Fig

ure

3.15

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

One re

sp

ond

ent

describ

ed

ho

w he uses th

e d

ecis

ion tr

ee to

d

iscuss th

e m

ain

p

oin

ts o

f a

co

llab

ora

tive r

esearc

h p

roje

ct

with t

he p

rincip

al

investig

ato

r, t

o g

ive t

hem

an i

nsig

ht

into

the

imp

ort

ant

issues t

o b

e a

ware

of

when a

gre

ein

g t

he s

co

pe o

f th

e p

roje

ct

with t

heir i

nd

ustr

y

part

ners

. A

num

ber

of o

thers

have u

sed

sectio

ns o

f th

e g

uid

ance n

ote

s t

o h

elp

them

to

exp

lain

their p

ositio

n o

n c

onte

ntio

us issues. D

esp

ite

th

is e

mp

ha

sis

on

th

e v

alu

e o

f th

e t

oo

lkit

as a

tra

inin

g t

oo

l, o

nly

26

% o

f th

e s

urv

ey p

art

icip

an

ts h

ave

use

d t

he

to

olk

it d

ire

ctl

y i

n t

his

wa

y,

alt

ho

ug

h m

ost

tha

t h

ave

do

ne

so

(o

ve

r 8

0%

) fo

un

d t

ha

t it

wa

s u

se

ful.

“Whe

re t

he t

oolk

it is

und

er-a

pp

reci

ated

is in

its

trai

ning

for

tech

nolo

gy t

rans

fer

staf

f. It

giv

es

peo

ple

a c

omm

on fr

amew

ork

to t

alk

abou

t th

ese

kind

s of

issu

es, a

nd h

as s

ensi

tised

a w

hole

ge

nera

tion

of t

echn

olog

y tr

ansf

er p

rofe

ssio

nals

– a

pro

cess

whi

ch is

stil

l goi

ng o

n to

day

.” –

Univ

ers

ity

54C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

8

12

Num

ber

ofre

spon

dent

s

esfin

dit

usef

u

esbu

titw

asn

ter

hepf

u

No

resp

onde

nts

(n=1

68)

Fig

ure

3.16

- H

ave

you

used

the

Lam

ber

t to

olk

it as

a t

rain

ing

to

ol?

SM

E in

volv

emen

t

As w

as d

iscussed

in t

he p

revio

us c

hap

ter, t

he t

oo

lkit h

as n

ot

been a

s s

uccessfu

l as m

ight

have

been h

op

ed

in r

eachin

g t

he S

ME

secto

r, a

nd

th

e s

ec

on

da

ry a

im o

f in

cre

asin

g a

nd

he

lpin

g

SM

E i

nte

rac

tio

ns w

ith

un

ive

rsit

ies h

as n

ot

be

en

we

ll a

ch

ieve

d.

72

% o

f th

e S

ME

sam

ple

still

ag

ree t

hat

sm

all

co

mp

anie

s a

re d

ete

rred

fro

m c

olla

bo

ratio

n b

y t

he c

osts

and

tim

e r

eq

uired

for

neg

otiatio

n,

and

only

17

% o

f th

ose w

ho

are

aw

are

of

Lam

bert

belie

ve t

hat

it h

as h

elp

ed

to

incre

ase t

he a

mo

unt

of

SM

E-u

niv

ers

ity c

olla

bo

ratio

n.

This

ap

pears

to

be m

ore

a p

rob

lem

of

aw

are

ness,

and

alli

ed

to

th

e m

ore

g

enera

l p

rob

lem

o

f ho

w univ

ers

itie

s can in

cre

ase th

eir

eng

ag

em

ent

with t

he S

ME

co

mm

unity,

as w

ell

as lo

wer

aw

are

ness o

f IP

issues w

ithin

SM

Es,

rath

er

than t

he t

oo

lkit b

ein

g u

nsuitab

le f

or

SM

E n

eed

s.

As w

ith t

he m

ain

sam

ple

, th

e m

ost

co

mm

on

altern

atives

for

SM

Es

to

usin

g

the

Lam

bert

ag

reem

ents

w

ere

either

their

ow

n

ag

reem

ents

, o

r th

ose sug

geste

d b

y a p

art

ner

or

fund

er. In

th

is seco

nd

case,

the Lam

bert

ag

reem

ents

co

uld

o

ffer

a m

ore

b

ala

nced

altern

ative to

th

e ag

reem

ents

o

ffere

d b

y a la

rger

part

ner.

182

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

55

100

00

000

00

100

heus

eof

the

too

itha

sin

reas

edM

nier

sit

oab

orat

ion

(am

pe

Res

pond

ents

who

are

awar

eof

Lam

bert

n=86

)

ma

erom

pani

esar

ede

terr

edfr

omo

abor

atio

nb

the

high

ega

osts

and

time

ino

edin

neg

otia

tion

(am

pe

re

spon

dent

sn=

12)

Rat

ing

erag

e

resp

onde

nts

(n=1

2)

war

e(n

=11

86)

Not

awar

e(n

=)

sed

Lam

bert

(n=8

6)

Not

used

Lam

bert

(n=

21

)

Res

ear

hor

gs(n

=61

)

M(n

=2

10)

Larg

eom

pan

(n=

4)

Fig

ure

3.17

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Cas

e S

tud

y -

Dig

ital

hea

lth

tec

hn

olo

gy

con

sort

ium

uM

otif

Ltd

is a

sta

rt-u

p w

ork

ing

on m

ob

ile s

olu

tio

ns t

o h

elp

tra

ck a

nd

mo

nito

r health c

ond

itio

ns.

Their fi

rst p

rod

uct help

s p

atients

with P

ark

inso

n’s

Dis

ease to

ad

here

to

their m

ed

icatio

ns a

nd

uses

co

gnitiv

e g

am

e t

esting

to

mo

nito

r th

eir p

rog

ress.

The t

echno

log

y i

s b

ein

g t

este

d i

n a

n S

BR

I-

fund

ed

pro

ject

whic

h is a

co

llab

ora

tio

n b

etw

een u

Mo

tif, w

ho

pro

vid

e t

he m

onito

ring

techno

log

y

and

ap

p d

evelo

pm

ent,

Cure

Park

inso

n’s

Tru

st

who

are

recru

itin

g t

he p

atients

, and

Birkb

eck,

Univ

ers

ity o

f Lo

nd

on,

who

are

runnin

g t

he c

linic

al tr

ial.

The u

niv

ers

ity,

thro

ug

h U

CL B

usin

ess,

intr

od

uced

uM

otif

to t

he L

am

bert

to

olk

it.

Bru

ce H

ellm

an,

CE

O, said

“A

ltho

ug

h I w

as n

erv

ous a

bo

ut th

e IP

po

sitio

n g

oin

g in

to the n

eg

otiatio

ns, th

e u

niv

ers

ity

too

k a

pra

gm

atic a

pp

roach, and

it w

as h

ug

ely

help

ful t

o b

e a

ble

to

access a

n a

gre

em

ent th

at w

as

read

y fo

r use. S

tart

ing

fro

m s

cra

tch a

s a

sta

rt-u

p c

om

pany w

ould

have b

een n

early im

po

ssib

le fo

r

us. I w

ill d

efin

itely

use t

he L

am

bert

ag

reem

ents

ag

ain

.” T

he p

ilot

stu

dy is n

earing

co

mp

letio

n, and

the g

roup

are

no

w p

lannin

g a

larg

er

follo

w u

p s

tud

y in t

he s

um

mer.

Imp

acts

and

influ

ence

Overa

ll, t

here

fore

, w

e h

ave f

ound

evid

ence t

hat

where

it

is u

sed

, th

e L

am

bert

to

olk

it h

as b

een

successfu

l in

achie

vin

g its aim

s o

f m

akin

g neg

otiatio

ns fa

ste

r, cheap

er

and

easie

r, and

in

pro

vid

ing

usefu

l in

form

atio

n,

pre

ced

ents

and

sup

po

rt to

fa

cili

tate

th

ese neg

otiatio

ns.

The

ag

reem

ents

have m

ost

valu

e a

s a

n ind

ep

end

ent

exem

pla

r o

f a fair a

nd

reaso

nab

le a

pp

roach t

o

co

llab

ora

tive r

esearc

h.

The e

xte

nt

of

this

im

pact

has b

een lim

ited

, ho

wever, b

y t

he lo

wer

than

exp

ecte

d levels

of use o

f th

e a

gre

em

ents

as a

firs

t cho

ice o

ptio

n. N

evert

hele

ss, th

e e

ffect

of th

e

too

lkit exte

nd

s b

eyo

nd

th

ese d

irect

results,

and

has p

erh

ap

s b

een m

ore

sig

nifi

cant

in th

e

56C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

influence t

hat

it h

as h

ad

on t

he w

ay in w

hic

h inno

vative r

esearc

h c

olla

bo

ratio

ns a

re s

tructu

red

and

neg

otiate

d.

It is n

ow

sta

nd

ard

pra

ctice f

or

IP o

wners

hip

and

access a

rrang

em

ents

to

be

ag

reed

up

-fro

nt

as p

art

of

any c

olla

bo

ratio

n a

gre

em

ent,

wheth

er

it i

s b

ased

on t

he L

am

bert

too

lkit o

r no

t, a

nd

the d

ecis

ion g

uid

e a

pp

roach s

up

po

rts t

his

pra

ctice.

The L

am

bert

ap

pro

ach it

self b

uilt

on p

re-e

xis

ting

mo

del a

gre

em

ents

, fo

r exam

ple

the a

gre

em

ent

asso

cia

ted

with t

he L

INK

fund

ing

schem

e fo

r co

llab

ora

tive r

esearc

h. O

ver

the y

ears

, th

is t

yp

e o

f

ap

pro

ach h

as b

eco

me c

om

mo

np

lace a

nd

is n

ow

a s

tand

ard

tactic w

hic

h h

as b

een a

dap

ted

fo

r

a n

um

ber

of

situatio

ns.

So

me o

f th

ese h

ave p

rod

uced

sta

nd

ard

ag

reem

ents

whic

h a

re b

ased

directly o

n o

ne o

r m

ore

of

the L

am

bert

tem

pla

tes,

exam

ple

s inclu

din

g t

he m

ICR

A9 a

gre

em

ent

for

clin

ical co

llab

ora

tive r

esearc

h,

or

the a

gre

em

ents

used

by t

he A

ero

sp

ace T

echnic

al S

teering

Gro

up

10,

altho

ug

h i

n t

his

case t

he s

tart

ing

po

int

for

the I

P p

rovis

ions h

as b

een s

hifte

d.

The

Sco

ttis

h u

niv

ers

itie

s h

ave p

ub

lished

a s

ing

le s

et o

f sta

nd

ard

tem

pla

te c

ontr

acts

and

ag

reem

ents

,

inclu

din

g a

sim

ple

jo

int

aw

ard

ag

reem

ent

for

gra

nt

fund

ed

co

llab

ora

tive r

esearc

h1

1,

and

als

o

sta

te t

hat

they a

re w

illin

g t

o u

se t

he L

am

bert

ag

reem

ents

, and

inclu

de a

lin

k t

o t

he w

eb

site.

In o

ther

cases,

the IP

princip

les b

ehin

d t

he L

am

bert

ag

reem

ents

have b

een m

od

ified

fo

r o

ther

circum

sta

nces, in

clu

din

g the recent ad

op

tio

n o

f IP

po

licie

s fo

r th

e u

se o

f re

searc

h s

po

nso

red

by

the N

HS

Health B

oard

s a

nd

NH

S T

rusts

in W

ale

s1

2.

The p

rocess o

f neg

otiating

, d

iscussin

g and

ra

tify

ing

th

e ag

reem

ents

w

as als

o b

eneficia

l in

pro

vid

ing

a f

oru

m in w

hic

h b

oth

univ

ers

ity a

nd

ind

ustr

y s

ides o

f th

e c

olla

bo

ratio

n c

ould

meet

and

exchang

e id

eas in

a n

eutr

al s

ett

ing

that w

asn’t

linked

to

a p

art

icula

r d

eal. T

his

was m

entio

ned

as b

ein

g a

valu

ab

le p

art

of

the p

rocess,

and

is s

om

eth

ing

that

has b

een m

issin

g s

ince t

he last

meeting

of

the O

ute

r W

ork

ing

Gro

up

in 2

00

8.

Ano

ther

influence o

f th

e a

gre

em

ents

has b

een t

heir a

do

ptio

n in t

he w

ider

co

nte

xt

of

researc

h

co

llab

ora

tio

n,

inclu

din

g

busin

ess-t

o-b

usin

ess

researc

h

co

nso

rtia

. T

he

princip

les

in

the

co

nso

rtiu

m a

gre

em

ents

in p

art

icula

r le

nd

them

selv

es e

asily

to

use in t

his

way.

9

htt

p:/

/ww

w.n

ihr.ac.u

k/ind

ustr

y/P

ag

es/m

od

el_

clin

ical_

tria

ls_ag

reem

ent.

asp

x

10

h

ttp

s:/

/co

nnect.

inno

vate

uk.o

rg/w

eb

/ats

g/o

verv

iew

11

h

ttp

://w

ww

.univ

ers

ityte

chno

log

y.co

m/S

co

ttis

hU

niv

ers

ityA

gre

em

ents

.asp

x

12

h

ttp

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ww

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s.n

hs.u

k/s

ites3

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e.c

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id=

65

08

7

183

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

57

Cas

e S

tud

y -

Bu

sin

ess

to b

usi

nes

s u

se

Sco

ttis

h B

ioenerg

y is

a fi

ve y

ear o

ld S

ME

that d

esig

ns, in

sta

lls a

nd

op

era

tes a

lgal p

ho

tob

iore

acto

r

syste

ms f

or

carb

on c

ap

ture

, w

aste

wate

r tr

eatm

ent

and

bio

chem

ical p

rod

uctio

n.

They a

re a

lso

invo

lved

in

b

iop

rosp

ecting

activitie

s,

iso

lating

co

mm

erc

ially

usefu

l alg

al

and

cyano

bacte

rial

str

ain

s fo

r a variety

o

f b

esp

oke ap

plic

atio

ns.

The IP

p

ipelin

e b

ehin

d th

is in

no

vatio

n is

very

imp

ort

ant

to t

he b

usin

ess,

and

the c

om

pany f

und

s r

esearc

h w

ith lead

ing

univ

ers

itie

s in t

he U

K

and

the R

ep

ub

lic o

f Ire

land

. T

hese c

olla

bo

ratio

ns h

ave u

sed

the L

am

bert

co

nso

rtiu

m a

gre

em

ents

,

and

when t

he t

ime c

am

e t

o p

ut

tog

eth

er

a b

usin

ess t

o b

usin

ess c

onso

rtiu

m,

the c

om

pany

turn

ed

to

these a

gre

em

ents

ag

ain

.

Sco

ttis

h B

ioenerg

y is n

ow

bring

ing

to

geth

er

an e

xcitin

g n

ew

pro

ject

whic

h w

ill u

se t

heir a

lgal

exp

ert

ise to

d

evelo

p and

p

rod

uce th

e ra

w in

gre

die

nts

fo

r b

iop

harm

aceutical

pro

ducts

. T

he

co

nso

rtiu

m c

onta

ins S

co

ttis

h B

ioenerg

y, a

no

ther

SM

E a

nd

a larg

er

co

mp

any.

The g

roup

is a

lso

ho

pin

g t

o b

ring

a d

istr

ibutio

n c

om

pany into

the c

onso

rtiu

m in t

he n

ear

futu

re. T

he c

ontr

act

they

are

usin

g i

s b

ased

on t

he L

am

bert

Co

nso

rtiu

m A

gre

em

ent

D,

in w

hic

h e

ach m

em

ber

of

the

co

nso

rtiu

m o

wns t

he IP

in t

he r

esults t

hat

it c

reate

s in t

he p

roje

ct,

and

gra

nts

each o

f th

e o

ther

part

ies a

no

n-e

xclu

siv

e lic

ence t

o u

se t

ho

se r

esults f

or

the p

urp

oses o

f th

e p

roje

ct

only

. A

s t

he

exp

loitatio

n p

ossib

ilities o

f th

e p

roje

ct b

eco

me c

leare

r, this

allo

ws the g

roup

to

mo

ve a

head

with

co

nfid

ence t

hat

they a

re b

uild

ing

a s

tro

ng

co

llective b

od

y o

f IP

, and

allo

ws t

hem

to

neg

otiate

a

licence o

r assig

nm

ent

to t

he I

P o

f ano

ther

mem

ber

of

the c

onso

rtiu

m i

f th

at

is n

eed

ed

fo

r

exp

loitatio

n.

“Our b

usin

ess a

nd

acad

em

ic c

olla

bo

ratio

ns a

re in

valu

ab

le to

the c

om

pany’s

co

llective k

no

wle

dg

e

and

develo

pm

ent o

f new

pro

gre

ssiv

e techno

log

y thro

ug

h in

no

vatio

n. W

e h

ave u

sed

the L

am

bert

ag

reem

ents

sin

ce t

he c

om

pany w

as f

orm

ed

, and

find

that

they w

ork

just

as w

ell

in a

busin

ess-

to-b

usin

ess c

onso

rtiu

m a

s t

hey d

o fo

r univ

ers

ity-b

usin

ess r

esearc

h. T

he m

ore

univ

ers

al th

e u

se

of th

e a

gre

em

ents

beco

mes, th

e m

ore

usefu

l they a

re to

us.”

said

David

van A

lsty

ne, th

e fo

und

er

of

Sco

ttis

h B

ioenerg

y.

184

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

59

Ch

ap

ter

4:

Pe

rce

pti

on

s a

nd

att

itu

de

s•

Barr

iers

to

neg

otiatio

n t

hat

are

cited

as s

till

imp

ort

ant

inclu

de v

alu

ing

IP

(fo

r alm

ost

80

%

of

the r

esp

ond

ents

), o

rganis

atio

nal b

ure

aucra

cy in b

oth

co

mp

anie

s a

nd

univ

ers

itie

s,

and

lack o

f skill

s o

f th

e n

eg

otiato

rs o

n b

oth

sid

es (ab

out

75

%).

•

Altho

ug

h t

he t

oo

lkit c

an id

entify

wo

rkab

le s

olu

tio

ns,

the a

gre

em

ents

rep

resent

a

co

mp

rom

ise p

ositio

n b

etw

een u

niv

ers

ity a

nd

ind

ustr

y m

issio

ns a

nd

prio

rities.

These

issues u

nd

erlie

so

me o

f th

e r

easo

ns t

hat

the a

gre

em

ents

are

no

t alw

ays c

ho

sen a

s a

sta

rtin

g p

oin

t.

•

IP o

wners

hip

is o

ne d

ifficult issue,

and

is c

losely

lin

ked

to

the d

evelo

pm

ent

sta

ge o

f th

e

techno

log

y. P

ub

licatio

n is a

no

ther

are

a w

here

there

are

tensio

ns b

etw

een t

he t

imescale

s

of

univ

ers

itie

s a

nd

co

mp

anie

s.

Fin

ally

, lia

bili

ties,

ind

em

nitie

s a

nd

warr

anties a

re c

lauses

that

are

oft

en c

halle

ng

ing

to

neg

otiate

, p

art

ly b

ecause u

niv

ers

itie

s a

nd

co

mp

anie

s h

ave

very

diff

ere

nt

ap

pro

aches t

o r

isk m

anag

em

ent.

The i

ntr

od

uctio

n t

o t

he t

oo

lkit o

n t

he L

am

bert

web

site e

xp

lain

s t

he p

hilo

so

phy b

ehin

d t

heir

develo

pm

ent:

“Th

e ai

m o

f th

e m

odel

agr

eem

ents

is t

o m

axim

ise

inno

vatio

n. T

hey

have

not

b

een

dev

elop

ed w

ith t

he a

im o

f m

axim

isin

g th

e co

mm

erci

al r

etur

n to

the

uni

vers

ities

; but

to

enco

urag

e un

iver

sity

and

ind

ustr

y co

llab

orat

ion

and

the

sha

ring

of k

now

led

ge.

They

do

not

rep

rese

nt a

n id

eal p

ositi

on fo

r an

y p

arty

; dep

end

ing

on th

e ci

rcum

stan

ces

they

are

des

igne

d

to re

pre

sent

a w

orka

ble

and

reas

onab

le c

omp

rom

ise

for b

oth

or a

ll p

artie

s.”

This

co

mp

rom

ise

po

sitio

n lie

s b

ehin

d s

om

e o

f th

e r

easo

ns w

hy t

he t

oo

lkit is n

ot

alw

ays u

sed

witho

ut

mo

difi

catio

n

as a

firs

t cho

ice,

and

these p

erc

ep

tio

ns w

ere

exp

lore

d w

hen t

he s

urv

ey e

xam

ined

att

itud

es t

o

the t

oo

lkit,

and

to

researc

h c

olla

bo

ratio

n m

ore

wid

ely

.

Fig

ure

4.1

- W

ord

clo

ud o

f th

e at

trib

utes

ass

oci

ated

with

the

“La

mb

ert”

bra

nd.

60C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The w

ord

clo

ud

ab

ove s

ho

ws t

he a

ttrib

ute

s t

hat

the s

urv

ey p

art

icip

ants

were

mo

st

likely

to

asso

cia

te w

ith th

e “L

am

bert

b

rand

”. A

s m

ight

be exp

ecte

d,

Inte

llectu

al

Pro

pert

y (IP

) and

Co

llab

ora

tio

n featu

re h

ighly

, b

ut

it is n

ota

ble

that

Univ

ers

ity is h

ighlig

hte

d m

uch m

ore

oft

en t

han

Busin

ess o

r E

nd

ors

ed

, re

flecting

the s

tro

ng

er

asso

cia

tio

n o

f th

e t

oo

lkit w

ith t

he r

esearc

h s

ecto

r.

Of

the o

rig

inal

aim

s o

f th

e to

olk

it,

Fair and

E

ase o

f U

se are

p

rom

inent,

b

ut

no

t Fast.

T

he

Inte

llectu

al P

rop

ert

y O

ffice (IP

O) is

als

o n

ot p

art

icula

rly s

tro

ng

ly a

sso

cia

ted

with the b

rand

, w

hic

h

em

phasis

es t

heir “

neutr

al”

po

sitio

nin

g.

Bar

rier

s to

neg

oti

atio

n

So

me o

f th

e a

ttitud

es d

iscussed

in t

he p

revio

us s

ectio

n w

ere

als

o h

ighlig

hte

d w

hen t

he s

urv

ey

loo

ked

at

the m

ost

imp

ort

ant

barr

iers

to

neg

otiatio

n o

f successfu

l re

searc

h c

olla

bo

ratio

ns.

The

results c

an b

e c

om

pare

d w

ith t

he r

esults f

rom

the 2

00

9 A

UR

IL s

urv

ey,

and

als

o t

he i

ssues

identified

by S

ara

ga in h

is 2

00

7 r

ep

ort

, w

hic

h w

ere

:

• O

vere

mp

hasi

s on

IP.

It is im

po

rtant

that

ad

eq

uate

pro

tectio

n is m

ad

e f

or

Inte

llectu

al

Pro

pert

y, b

ut

we f

eel th

at

bo

th u

niv

ers

itie

s a

nd

busin

esses a

re g

uilt

y o

n o

ccasio

ns o

f

putt

ing

excessiv

e e

mp

hasis

on e

nsuring

their o

wn id

eal o

utc

om

e f

rom

the n

eg

otiatio

n

in r

ela

tio

n t

o IP,

when it

is o

ften n

ot

even t

he m

ost

imp

ort

ant

asp

ect

of

the r

esearc

h

co

llab

ora

tio

n.

• U

ncle

ar m

essa

ges.

There

is s

till

a lack o

f cla

rity

over

so

me im

po

rtant

hig

h level

messag

es c

om

ing

bo

th f

rom

Go

vern

ment

and

pub

lic f

und

ers

. Fo

r exam

ple

, th

ere

is

co

nfu

sio

n a

s t

o w

heth

er

the p

rim

ary

aim

of

co

llab

ora

tive r

esearc

h s

ho

uld

be t

o g

enera

te

inco

me f

or

univ

ers

itie

s o

r to

cre

ate

benefit

for

the w

ider

eco

no

my;

and

it

is n

ot

alw

ays

cle

ar

what

pub

lic r

esearc

h f

und

ers

exp

ect

to s

ee a

s a

n a

pp

rop

riate

outc

om

e in r

ela

tio

n

to IP.

• N

eed

for

goo

d p

ract

ice

in n

egot

iatin

g p

roce

ss.

We h

ave id

entified

a n

um

ber

of

asp

ects

of

go

od

pra

ctice in t

he p

rocess o

f neg

otiatio

ns,

such a

s u

nd

ers

tand

ing

the m

otivatio

ns

of

the o

ther

part

y a

nd

havin

g a

pp

rop

riate

escala

tio

n p

roced

ure

s.

Whils

t so

me o

f th

ese

are

co

mm

only

reco

gnis

ed

pra

ctices t

hat

are

self-e

vid

ently s

ensib

le,

it is c

lear

that

they

are

oft

en n

ot

follo

wed

(S

ara

ga,

20

07

13).

13

S

tream

linin

g U

niv

ers

ity /

Busin

ess C

olla

bo

rative R

esearc

h N

eg

otiatio

ns: A

n Ind

ep

end

ent

Rep

ort

to

the “

Fund

ers

’

Fo

rum

” o

f th

e D

ep

art

ment

for

Inno

vatio

n U

niv

ers

itie

s a

nd

Skill

s,

Aug

ust

20

07

.

185

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

61

010

200

400

600

800

100

non

sist

enin

got

poi

on o

wne

rshi

p

Laof

arit

oer

nier

sit

po

i p

riorit

ies

erem

phas

ison

rath

erth

ano

abor

ati

eai

ms

Laof

reso

ure

rgan

isat

iona

bure

aura

rgan

isat

iona

po

i

erre

ian

eon

adi

efr

omeg

apr

ofes

sion

as

is

of n

egot

iatin

gpa

rties

iffi

ut

of

aui

ng

ofre

spon

dent

s

201

er s

igni

fian

t

igni

fian

t

Min

orfa

tor

Not

aba

rrier

resp

onde

nts

(n=1

6)

010

200

400

600

800

100

Laof

reso

ure

rgan

isat

iona

bure

aura

rgan

isat

iona

po

i

Lega

soi

itorr

eia

ne

is

of p

artie

s

iffi

ut

of

aui

ng

ofre

spon

dent

s

200

erim

port

ant

mpo

rtan

t

uite

impo

rtan

t

fato

r

Not

impo

rtan

t

RL

200

sur

ere

spon

dent

s (n

=)

Fig

ure

4.2

- W

hich

(if

any)

of

the

follo

win

g b

arrie

rs d

o y

ou

bel

ieve

are

stil

l im

po

rtan

t in

neg

otia

tion

of

colla

bo

rativ

e re

sear

ch a

gre

emen

ts?

Sim

ilar

co

ncern

s r

un t

hro

ug

h a

ll th

ree s

urv

eys.

In o

ur

sam

ple

, d

iffi

cu

lty i

n v

alu

ing

IP

wa

s

rate

d a

s s

ign

ific

an

t o

r ve

ry s

ign

ific

an

t b

y 7

9%

of

the

re

sp

on

de

nts

, a

nd

oth

er

IP issu

es

als

o r

ate

d h

igh

ly.

Org

anis

atio

nal b

ure

aucra

cy w

ithin

bo

th c

om

panie

s a

nd

univ

ers

itie

s (

74

%),

and

the s

kill

s o

f th

e n

eg

otiato

rs o

n b

oth

sid

es (7

5%

) als

o r

em

ain

of p

art

icula

r co

ncern

. L

ac

k o

f

cla

rity

ove

r u

niv

ers

ity p

olic

y p

rio

riti

es w

as n

ot

co

nsid

ere

d s

o m

uc

h o

f a

n i

ssu

e a

s i

t

wa

s i

n t

he

pa

st,

whic

h s

ug

gests

that

so

me o

f th

e issues s

urr

ound

ing

the u

niv

ers

ity m

issio

n

have b

een r

eso

lved

, altho

ug

h t

here

is s

till

wo

rk t

o b

e d

one h

ere

.

62C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

“Neg

otia

ting

agre

emen

ts is

ab

out

gett

ing

a sh

ared

und

erst

and

ing

and

agr

eem

ent

on m

utua

l b

enefi

ts o

f a

colla

bor

atio

n …

With

out

this

the

bes

t to

olki

t in

the

wor

ld is

of

limite

d b

enefi

t.”

– U

niv

ers

ity

Altho

ug

h b

arr

iers

can a

lways b

e id

entified

when t

he fo

cus is

on n

eg

otiatio

n o

f a d

eal, in

pra

ctice

these b

arr

iers

do

no

t actu

ally

pre

vent

the c

om

ple

tio

n o

f d

eals

where

there

is a

will

on b

oth

sid

es

to d

o s

o.

Oth

er

researc

h b

y P

AC

EC

14 h

as i

dentified

that

ag

reem

ent

of

IP i

ssues w

as a

t th

e

bo

tto

m o

f a l

ist

of

co

nstr

ain

ts t

o k

no

wle

dg

e e

xchang

e i

nte

ractio

ns b

etw

een a

cad

em

ics a

nd

firm

s, w

ith r

eso

urc

e issues a

nd

the p

ractical asp

ects

of id

entify

ing

and

inte

racting

with p

ote

ntial

part

ners

in t

he fi

rst

pla

ce m

uch m

ore

im

po

rtant

in t

he o

vera

ll co

llab

ora

tio

n p

rocess.

Cul

ture

When w

e e

xp

lore

d t

he r

easo

ns w

hy d

iffere

nt

ind

ivid

uals

and

secto

rs a

re u

sin

g o

r are

no

t usin

g

the a

gre

em

ents

, w

e f

ound

that

op

inio

n w

as q

uite p

ola

rised

:

•

A f

ew

are

str

ong

ad

vo

cate

s f

or

the t

oo

lkit,

and

will

alw

ays t

ry t

o u

se it.

•

Many m

ore

, p

art

icula

rly in t

he u

niv

ers

ity s

ecto

r are

well

dis

po

sed

to

ward

s it

and

will

use it

as a

co

mp

rom

ise p

ositio

n,

but

are

fru

str

ate

d t

hat

it is n

ot

mo

re w

idely

used

.

•

At

the o

ther

end

of

the s

pectr

um

are

a p

ow

erf

ul g

roup

of

larg

e ind

ustr

y p

layers

who

have

reje

cte

d t

he a

pp

roach a

lto

geth

er.

Severa

l o

f th

ose w

e inte

rvie

wed

fro

m ind

ustr

y h

ad

revie

wed

the a

gre

em

ents

and

to

olk

it w

hen

they w

ere

intr

od

uced

, d

ecid

ed

that

their e

xis

ting

ap

pro

ach s

uited

their n

eed

s b

ett

er, a

nd

have

no

t re

ally

revis

ited

them

sin

ce.

As t

he p

rovid

ers

of

fund

ing

fo

r th

e c

olla

bo

rative r

esearc

h,

they

are

in a

str

ong

po

sitio

n t

o im

po

se t

heir o

wn t

erm

s a

nd

ag

reem

ents

on t

he c

olla

bo

ratio

n,

and

mo

st

researc

h p

art

ners

find

it easie

r to

w

ork

w

ith th

ese ag

reem

ents

and

neg

otiate

fo

r th

e

chang

es t

hey n

eed

, th

an t

o s

ug

gest

a d

iffere

nt

ap

pro

ach a

lto

geth

er. I

t se

em

s u

nlik

ely

th

at

the

po

sit

ion

of

ma

ny o

f th

ese

la

rge

co

mp

an

ies w

ou

ld b

e a

lte

red

by a

ny u

pd

ate

s o

r

ch

an

ge

s t

o t

he

to

olk

it,

and

this

is a

lso

sup

po

rted

by t

he g

enera

lly n

eg

ative a

ttitud

es t

o t

he

too

lkit f

rom

larg

e c

om

panie

s r

ep

ort

ed

in C

hap

ter

3.

Ho

wever, s

om

e larg

e c

om

panie

s a

re n

ow

beg

innin

g to

use a

Lam

bert

-lik

e a

pp

roach to

their in

itia

tives in

Op

en In

no

vatio

n, as w

as il

lustr

ate

d

by t

he c

ase s

tud

y invo

lvin

g A

str

aZ

eneca in t

he p

revio

us c

hap

ter.

14

T

he Inte

llectu

al P

rop

ert

y R

eg

ime a

nd

its

Im

plic

atio

ns f

or

Kno

wle

dg

e E

xchang

e,

PA

CE

C,

20

10

.

186

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

63

At

the h

eart

of

so

me o

f th

e m

ore

fund

am

enta

l o

bje

ctio

ns t

o t

he t

oo

lkit,

and

the I

P p

rincip

les

behin

d them

are

so

me im

po

rtant is

sues s

urr

ound

ing

the d

iffere

nt culture

s w

ithin

univ

ers

itie

s a

nd

ind

ustr

y. T

hese a

re t

he k

ey i

ssues w

here

co

mp

rom

ises w

ere

mad

e i

n d

raw

ing

up

the m

od

el

ag

reem

ents

in t

he fi

rst

pla

ce,

and

they a

re t

he i

ssues w

hic

h a

re s

till

rais

ed

no

w a

s b

ein

g t

he

reaso

ns w

hy the a

gre

em

ents

canno

t b

e a

n o

rganis

atio

n’s

firs

t cho

ice a

gre

em

ent unle

ss they a

re

mo

re w

idely

ad

op

ted

. A

long

sid

e th

e p

rovis

ion o

f te

mp

late

s w

hic

h co

ver

sta

nd

ard

co

ntr

act

cla

uses,

the L

am

bert

to

olk

it inte

nd

ed

to

find

wo

rkab

le c

om

pro

mis

e p

ositio

ns o

n t

he k

ey p

oin

ts

of

neg

otiatio

n b

etw

een u

niv

ers

itie

s a

nd

ind

ustr

y:

•

IP o

wn

ers

hip

an

d v

alu

ati

on

issu

es

•

pu

blic

ati

on

rig

hts

•

lia

bilit

ies,

ind

em

nit

ies a

nd

wa

rra

nti

es

Ab

ove t

hese lie

s w

hat

many s

till

perc

eiv

e a

s a

lack o

f a c

lear

str

ate

gy o

n t

he r

ole

of univ

ers

itie

s

in these in

tera

ctio

ns. A

s p

ub

licly

fund

ed

bo

die

s, w

ith c

harita

ble

sta

tus a

nd

asso

cia

ted

ob

ligatio

ns

of

pub

lic b

enefit,

there

are

rule

s s

urr

ound

ing

univ

ers

ity b

ehavio

ur

whic

h d

o n

ot

alw

ays fi

t w

ith

ind

ustr

y c

om

merc

ial need

s.

Over

the y

ears

, th

e e

mp

hasis

within

univ

ers

itie

s h

as s

hifte

d f

rom

a

desire t

o g

ain

an inco

me s

tream

fro

m t

hird

str

eam

activitie

s s

uch a

s p

ate

nts

and

lic

ensin

g,

to

incre

asin

g t

heir r

ole

in t

he i

nno

vatio

n c

ulture

and

maxim

isin

g i

nte

ractio

ns w

ith a

ll secto

rs o

f

ind

ustr

y, t

o incre

asin

g t

he “

Imp

act”

of th

eir r

esearc

h b

y m

akin

g it

wid

ely

availa

ble

and

exp

loited

,

and

no

w t

o f

ulfi

lling

their r

ole

in d

rivin

g e

co

no

mic

develo

pm

ent

thro

ug

h t

he g

row

th a

gend

a.

“The

too

lkit

need

s an

exp

lana

tion

of t

he u

nive

rsity

’s r

esp

onsi

bili

ties

und

er t

he C

harit

ies

Act

as

a p

ream

ble

to

fram

e ne

gotia

tion”

– R

ussell

Gro

up

Univ

ers

ity

Clo

sely

asso

cia

ted

with t

he issues o

f charita

ble

sta

tus a

re t

he issues o

f Full

Eco

no

mic

Co

sting

(FE

C), a

nd

EU

Sta

te A

id r

ule

s,

whic

h c

an a

pp

ly w

hen p

ub

lic f

und

ing

is u

sed

to

benefit

one

ind

ustr

y p

layer

ab

ove o

thers

in t

he s

ecto

r. T

he r

ule

s a

re c

om

ple

x,

with m

any e

xem

ptio

ns,

and

whils

t th

e s

tart

ing

mo

del ag

reem

ent

sho

uld

co

mp

ly w

ith t

he r

ule

s t

his

can q

uic

kly

be a

ltere

d if

the t

erm

s a

re a

ltere

d,

for

exam

ple

by p

rovid

ing

in-k

ind

rath

er

than fi

nancia

l sup

po

rt,

or

payin

g

less t

han F

EC

fo

r th

e u

niv

ers

ity r

esearc

h.

Develo

pm

ent

of a c

om

mo

n u

nd

ers

tand

ing

of ho

w t

he

Sta

te

Aid

ru

les

ap

ply

to

univ

ers

ity-i

nd

ustr

y

co

llab

ora

tio

ns

wo

uld

help

to

alig

n

co

mp

any

co

ntr

ibutio

ns c

orr

ectly t

o IP

access r

ights

.

There

is a

lack o

f co

nsis

tency in t

he a

pp

licatio

n a

nd

inte

rpre

tatio

n o

f th

ese r

ule

s w

hic

h h

as led

to a

num

ber

of

co

mp

anie

s fi

nd

ing

that

so

me u

niv

ers

itie

s o

ffer

a m

ore

flexib

le a

nd

pra

gm

atic

ap

pro

ach t

han o

thers

. In

so

me i

nsta

nces,

this

has r

esulted

in a

co

mp

any c

ontinuin

g t

o w

ork

with a

part

icula

r g

roup

of

univ

ers

itie

s t

o t

he e

xclu

sio

n o

f o

thers

. S

om

e u

niv

ers

itie

s h

ave b

een

accused

of

“hid

ing

behin

d”

their c

harita

ble

sta

tus,

rath

er

than c

onsid

ering

the m

erits

of

each

sp

ecifi

c c

olla

bo

ratio

n.

64C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Issu

es in

IP o

wn

ersh

ip

There

is a

tensio

n i

n a

ll co

llab

ora

tio

ns b

etw

een a

desire f

rom

the u

niv

ers

ity t

o m

axim

ise t

he

exp

loitatio

n o

f th

eir r

esearc

h,

and

a d

esire f

rom

ind

ustr

y t

o p

rote

ct

their c

om

merc

ial p

ositio

n.

We f

ound

that

IP o

wn

ers

hip

wa

s s

till s

ee

n a

s a

ma

jor

ca

use

of

dis

ag

ree

me

nt

wit

hin

co

lla

bo

rati

ve

re

se

arc

h,

wit

h 7

6%

of

the

su

rve

y s

am

ple

ag

ree

ing

or

str

on

gly

ag

ree

ing

wit

h t

his

sta

tem

en

t.

00

000

00

100

10

isag

reem

ent o

er is

am

aor

stum

bin

gb

o in

o

abor

ati

ere

sear

hne

gotia

tions

resp

onde

nts

(n=1

8)

Rat

ing

erag

e

resp

onde

nts

(n=1

8)

war

e(n

=124

)

Not

awar

e(n

=61)

sed

Lam

bert

(n=

2)

Not

used

Lam

bert

(n=

2)

Res

ear

hor

gs(n

=100

)

M(n

=2)

Fig

ure

4.3

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Mo

st

resp

ond

ents

(7

4%

) fe

lt th

at

the to

olk

it rig

htly co

ncentr

ate

s o

n th

e ro

le o

f IP

in

th

ese

co

llab

ora

tio

ns.

Ap

art

fro

m larg

e c

om

panie

s,

the s

urv

ey s

am

ple

was n

eutr

al o

n t

he q

uestio

n o

f

wheth

er

the d

ecis

ion g

uid

e help

s to

re

so

lve th

e IP

o

wners

hip

is

sues.

Ind

eed

, so

me o

f th

e

ind

ivid

ual cases m

entio

ned

sug

gest

that

many d

isag

reem

ents

arise w

here

the d

ecis

ion g

uid

e

has no

t b

een used

to

d

ete

rmin

e w

hic

h ag

reem

ent

to use,

but

inste

ad

o

ne o

r b

oth

p

art

ies

auto

matically

cho

oses a

part

icula

r sta

rtin

g a

gre

em

ent

in a

ll circum

sta

nces.

The g

uid

e c

an b

e a

blu

nt to

ol, a

nd

so

metim

es w

ill s

till

no

t re

co

mm

end

one p

art

icula

r ag

reem

ent even a

fter answ

ering

severa

l q

uestio

ns.

187

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

65

10

100

00

000

00

seof

the

deis

ion

guid

ere

dues

argu

men

tso

erow

ners

hips

atth

eou

tset

heto

oit

oer

emph

asis

es

the

roe

of

in

oab

orat

ions

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

06)

Rat

ing

aer

age

war

e(n

=106

4)

sed

Lam

bert

(n=8

4)

Not

used

Lam

bert

(n=2

20)

Res

ear

hor

gs(n

=68

60)

M(n

=12

)

Larg

eom

pan

(n=1

616

)

Fig

ure

4.4

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Th

e

issu

e

of

IP

ow

ne

rsh

ip

is

str

on

gly

in

flu

en

ce

d

by

the

d

eve

lop

me

nt

sta

ge

o

r

Te

ch

no

log

y R

ea

din

ess L

eve

l o

f th

e te

ch

no

log

y.

Fo

r exam

ple

, fo

r early sta

ge o

r m

ore

fund

am

enta

l researc

h t

he u

niv

ers

ity p

art

ner

will

be m

ore

co

ncern

ed

ab

out

reta

inin

g t

he IP

rig

hts

to e

nab

le t

hem

to

take t

he r

esearc

h o

n i

n a

num

ber

of

diff

ere

nt

directio

ns a

nd

exp

loit i

t in

multip

le a

pp

licatio

n a

reas.

At

this

sta

ge,

an ind

ustr

y p

art

ner

may b

e m

ore

rela

xed

ab

out

leavin

g

so

me o

r all

of

the I

P r

ights

with t

he u

niv

ers

ity,

whils

t fo

r re

searc

h o

n a

techno

log

y o

r p

rod

uct

whic

h is c

loser

to t

he m

ark

et

they w

ill b

e m

uch m

ore

co

ncern

ed

ab

out

their a

bili

ty t

o p

olic

e a

nd

pro

tect

the IP.

“The

re a

re m

any

valu

able

are

as o

f re

sear

ch t

hat

larg

er c

omp

anie

s ar

e ke

en t

o en

gage

in o

n th

e b

asis

tha

t th

e ou

tput

is v

alua

ble

but

pre

com

pet

itive

and

not

req

uirin

g IP

ow

ners

hip

by

them

.” –

Larg

e C

om

pany

To

so

me e

xte

nt

this

co

mes d

ow

n t

o a

n i

ssue o

f tr

ust

– d

oes t

he i

nd

ustr

y p

art

ner

“tru

st”

the

univ

ers

ity to

p

rote

ct

the IP

in

th

e sam

e w

ay as th

ey w

ould

, o

r is

it to

o im

po

rtant

to th

eir

co

mm

erc

ial str

ate

gy t

o b

e o

ut

of th

eir c

ontr

ol. T

his

do

es n

ot

necessarily

reflect

a lack o

f re

sp

ect

for

the u

niv

ers

ity p

roced

ure

s,

but

rath

er

a n

eed

to

inte

gra

te t

he e

ntire

co

mp

any I

P p

rote

ctio

n

str

ate

gy s

o t

hat

it w

ork

s t

og

eth

er

to p

rote

ct

their p

art

icula

r p

rod

ucts

or

serv

ices e

ffectively

. Fo

r

so

me co

mp

anie

s th

is m

eans th

at

they w

ill o

nly

carr

y o

ut

pre

-co

mm

erc

ial

or

fund

am

enta

l

researc

h w

ith u

niv

ers

ity p

art

ners

. Fo

r la

ter sta

ge c

olla

bo

rative researc

h they o

nly

use c

om

merc

ial

part

ners

on c

om

merc

ial te

rms.

There

is a

lso

oft

en c

onfu

sio

n b

etw

een t

he n

eed

to

ow

n t

he IP

co

mp

are

d w

ith t

he a

bili

ty t

o h

ave

exclu

siv

e a

ccess t

o it.

In m

any s

ituatio

ns,

these a

ltern

atives a

re functio

nally

eq

uiv

ale

nt,

and

the

IP o

wners

hip

can r

est

with e

ither

part

ner

to s

uit t

he c

ircum

sta

nces. U

sa

ge

rig

hts

, ra

the

r th

an

ow

ne

rsh

ip o

f IP

, a

re t

he

im

po

rta

nt

fac

tor.

Fo

r S

ME

s b

uild

ing

a b

usin

ess o

n a

techno

log

y

pla

tfo

rm,

ho

wever, t

he o

wners

hip

of IP

can b

e e

ssential fo

r th

em

to

rais

e furt

her

fund

ing

. S

om

e

66C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

ind

ustr

y r

esp

ond

ents

felt t

hat

the d

efa

ult p

ositio

n o

f univ

ers

ity I

P o

wners

hip

enshrined

in t

he

Lam

bert

IP

princip

les i

s b

iased

to

o f

ar

in f

avo

ur

of

the u

niv

ers

itie

s.

This

fails

to

reco

gnis

e t

he

ob

ligatio

ns p

laced

on t

he u

niv

ers

itie

s b

y t

heir c

harita

ble

sta

tus,

and

the n

eed

to

retu

rn b

enefit

bo

th t

o t

he p

ub

lic g

oo

d a

nd

the p

ub

lic p

urs

e b

y m

axim

isin

g e

xp

loitatio

n o

f th

eir r

esearc

h.

“IP

is

not

all

abou

t ow

ners

hip

. O

ne n

eed

s to

foc

us o

n us

age,

not

ow

ners

hip

, m

ost

of t

he

time.

” -

Univ

ers

ity

00

000

00

100

10

Man

om

pani

esau

tom

ati

ade

man

d o

wne

rshi

pe

enw

here

this

is n

otap

prop

riate

orus

tifie

d b

thei

ron

tribu

tion

toth

eo

abor

atio

n

Man

nier

sitie

s o

era

ueth

eir

resp

onde

nts

(n=1

81)

Rat

ing

aer

age

resp

onde

nts

(n=1

81)

war

e(n

=122

)

Not

awar

e(n

=)

sed

Lam

bert

(n=8

)

Not

used

Lam

bert

(n=

2)

Res

ear

hor

gs(n

=)

M(n

=2)

Larg

eom

pan

(n=

)

Fig

ure

4.5

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

This

po

sitio

n is r

eflecte

d in t

he a

ttitud

e f

ound

in a

ll b

ut

the larg

e c

om

panie

s in t

he s

urv

ey t

hat

co

mp

an

ies t

en

d t

o d

em

an

d I

P o

wn

ers

hip

eve

n w

he

re t

his

is n

ot

ap

pro

pri

ate

, w

ith 7

0%

of

the s

am

ple

ag

reein

g.

The o

ther

big

issue w

ith I

P r

ela

tes t

o v

alu

atio

n,

and

wheth

er

a r

etu

rn

sho

uld

flo

w b

ack t

o t

he u

niv

ers

ity t

o r

eflect

their r

ole

in t

he c

olla

bo

ratio

n.

This

ag

ain

is a

majo

r

dis

cussio

n p

oin

t fo

r a n

um

ber

of re

aso

ns.

As c

an b

e s

een in t

he fi

gure

, th

ere

wa

s a

gre

em

en

t

fro

m 7

3%

o

f th

e sa

mp

le,

eve

n fr

om

6

5%

o

f th

e re

se

arc

h c

om

mu

nit

y,

tha

t so

me

un

ive

rsit

ies o

ve

rva

lue

th

eir

IP

. T

his

is c

losely

lin

ked

to

the u

np

red

icta

ble

natu

re o

f re

searc

h;

when a

co

llab

ora

tio

n b

eg

ins,

there

is g

enera

lly n

o w

ay o

f te

lling

wheth

er

or

no

t it w

ill p

rod

uce

anyth

ing

of

co

mm

erc

ial valu

e,

no

r ho

w m

uch a

dd

itio

nal tim

e,

develo

pm

ent

wo

rk,

investm

ent,

and

co

mp

lem

enta

ry IP

fr

om

o

ther

so

urc

es m

ay b

e need

ed

fr

om

th

e co

mp

any to

tu

rn th

is

researc

h into

a c

om

merc

ial p

rod

uct.

Bo

th p

art

ies a

re d

riven b

y a

desire n

ot

to m

iss o

ut

on t

he

op

po

rtunity o

f “t

he n

ext b

ig thin

g”.

One w

ay to

avo

id this

issue is

to

dela

y these d

iscussio

ns u

ntil

so

me o

f th

e u

ncert

ain

ties b

eco

me c

leare

r, b

y i

nclu

din

g a

n “

ag

reem

ent

to a

gre

e”

cla

use.

This

has p

roved

help

ful in

so

me c

ases, and

is a

pra

ctical re

sp

onse t

o t

he fact

that

mo

st

researc

h w

ill

no

t le

ad

to

a h

igh c

om

merc

ial v

alu

e o

utc

om

e a

nd

so

it is

no

t w

ort

h s

pend

ing

tim

e a

rguin

g a

t th

e

outs

et

over

so

meth

ing

that

will

never

hap

pen.

So

me o

f th

e s

urv

ey r

esp

ond

ents

favo

ur

this

ap

pro

ach,

but

it i

s d

elib

era

tely

no

t in

clu

ded

within

the L

am

bert

princip

les w

hic

h r

eq

uire t

he

188

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

67

part

ies t

o d

eal w

ith t

hese issues u

p f

ront.

Many,

ho

wever, fi

nd

that

the a

pp

roach w

ould

no

t b

e

accep

tab

le fo

r th

em

in t

erm

s o

f co

mm

erc

ial risk,

part

icula

rly if th

e c

om

pany is v

entu

re b

acked

,

and

fear

that th

ey m

ay b

e “

held

to

ranso

m”

by their researc

h p

art

ner

in the futu

re. U

nd

er

Eng

lish

law

, th

is t

yp

e o

f cla

use is n

ot

leg

ally

bin

din

g,

and

so

mo

st

law

yers

als

o a

dvis

e a

gain

st

its u

se.

Pu

blic

atio

n v

ersu

s co

nfid

enti

alit

y

Pub

licatio

n is t

he lifeb

loo

d o

f any u

niv

ers

ity,

and

ind

ustr

y c

olla

bo

rato

rs a

re w

ell

aw

are

that

this

is an im

po

rtant

issue fo

r th

em

. S

om

e in

dustr

y p

art

icip

ants

ho

wever

co

mm

ente

d th

at

the

tim

esc

ale

s f

or

pu

blic

ati

on

se

t o

ut

in t

he

La

mb

ert

ag

ree

me

nts

are

no

t a

lwa

ys i

n l

ine

wit

h t

he

tim

esc

ale

s n

ee

de

d t

o s

ec

ure

su

ita

ble

IP

pro

tec

tio

n f

or

co

mm

erc

ially o

rie

nte

d

rese

arc

h.

The s

imp

listic r

esp

onse t

o t

his

is t

o fi

le a

pate

nt

on t

he i

nventio

n,

and

then a

llow

pub

licatio

n b

y t

he a

cad

em

ic.

Ho

wever, p

art

icula

rly w

ith e

arly s

tag

e r

esearc

h,

this

may n

ot

be

the b

est

route

as f

urt

her

researc

h o

r d

evelo

pm

ent

may b

e r

eq

uired

befo

re t

he m

ost

effective

pate

nt

ap

plic

atio

n can b

e co

nstr

ucte

d.

This

b

eco

mes p

art

icula

rly acute

w

here

m

ultip

le IP

str

and

s are

co

mb

ined

in

to o

ne co

mm

erc

ial

pro

duct.

T

his

is

ano

ther

insta

nce w

here

th

e

pre

ssure

s o

n a

n S

ME

, w

here

their m

ain

valu

e is t

ied

up

in t

heir I

P c

an b

e v

ery

diff

ere

nt

fro

m

tho

se fo

r a b

igg

er co

mp

any.

Sim

ilar co

ncern

s a

lso

ap

ply

to

the tim

escale

s a

pp

lied

to

co

mm

erc

ial

op

tio

ns t

o n

eg

otiate

a lic

ense.

Fo

r th

e u

niv

ers

itie

s,

pub

licatio

n b

eco

mes p

art

icula

rly im

po

rtant

for P

hD

stu

dents

, w

ho

need

their thesis

no

t ju

st to

get th

eir d

eg

ree, b

ut als

o their n

ext acad

em

ic

po

sitio

n.

If b

oth

sid

es a

re s

ensitiv

e t

o t

hese n

eed

s,

then c

reative s

olu

tio

ns c

an b

e fo

und

whic

h

allo

w p

ub

licatio

n o

f th

e a

cad

em

ic r

esearc

h w

itho

ut

revealin

g c

om

merc

ially

sensitiv

e a

sp

ects

.

Severa

l o

f th

e S

ME

s e

mp

hasis

ed

that

the e

nd

ors

em

ent

they g

et

fro

m a

cad

em

ic p

ub

licatio

ns is

very

valu

ab

le t

o t

hem

in b

uild

ing

their e

xte

rnal cre

dib

ility

.

“Uni

vers

ities

are

und

er a

dut

y of

car

e to

ens

ure

that

pos

tgra

dua

te s

tud

ents

are

sup

por

ted

an

d e

nab

led

to

com

ple

te t

heir

deg

ree.

Em

bar

goin

g th

eir

thes

is f

or l

ong

per

iod

s is

an

abso

lute

joke

in m

ost

case

s.”

– U

niv

ers

ity

Rela

ted

to

the p

rote

ctio

n o

f th

e c

om

merc

ial ro

ute

fo

r an ind

ustr

y p

art

ner

is t

heir c

oncern

ab

out

po

tential le

akag

e o

f co

mp

any k

no

w-h

ow

that

may c

om

e f

rom

a t

rue c

olla

bo

ratio

n w

here

bo

th

part

ies a

re c

ontr

ibuting

researc

h a

nd

inte

llectu

al

inp

ut

as w

ell

as f

und

ing

. W

hils

t it m

ay b

e

ap

pro

priate

fo

r th

e

univ

ers

ity

to

reta

in

ong

oin

g

researc

h

rig

hts

fr

om

th

e

results

of

the

co

llab

ora

tio

n,

this

beco

mes less c

lear

when in o

rder

to u

se t

hese r

ights

they a

re a

lso

gain

ing

insig

ht

into

co

mm

erc

ially

sensitiv

e t

ips a

nd

tricks.

In t

his

case,

use f

or

researc

h a

nd

teachin

g

may b

e a

ccep

tab

le w

hen u

se i

n o

ther

co

mm

erc

ial

co

llab

ora

tio

ns w

ould

no

t b

e.

This

typ

e o

f

dis

tinctio

n c

an b

e d

ifficult f

or

a u

niv

ers

ity t

o c

op

e w

ith,

and

the issue is b

eco

min

g m

ore

acute

as g

rant

fund

ing

, p

art

icula

rly in t

he p

hysic

al scie

nces is b

eco

min

g m

ore

and

mo

re d

ep

end

ent

on t

he p

resence o

f in

dustr

y p

art

ners

. S

om

e p

ote

ntial so

lutio

ns t

o d

ivis

ion o

f th

e o

utp

uts

of th

is

typ

e o

f co

llab

ora

tio

n w

ill b

e d

iscussed

in C

hap

ter

5.

68C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Lia

bili

ties

, in

dem

nit

ies

and

war

ran

ties

The c

lauses rela

ting

to

liab

ilities, in

dem

nitie

s a

nd

warr

anties w

ere

als

o rais

ed

by b

oth

univ

ers

itie

s

and

co

mp

anie

s a

s c

ausin

g p

rob

lem

s f

or

bo

th s

ides o

f th

e c

olla

bo

ratio

n.

Un

ive

rsit

ies h

ave

a

ve

ry d

iffe

ren

t a

pp

roa

ch

to

ris

k m

an

ag

em

en

t a

nd

will n

ot

tak

e o

n r

isk

of

fac

tors

ou

tsid

e

the

ir c

on

tro

l, w

hilst

co

mp

an

ies m

ay b

e a

ble

to

ta

ke

mo

re o

f a

ris

k-r

ew

ard

ap

pro

ac

h t

o

lia

bilit

ies,

ind

em

nit

ies a

nd

w

arr

an

tie

s.

So

me o

f th

is ste

ms fr

om

th

e charita

ble

sta

tus

dis

cussed

ab

ove,

and

so

me re

flects

in

stitu

tio

nal

pra

ctices.

This

can re

sult in

co

nsid

era

ble

frustr

atio

n w

here

a univ

ers

ity fe

els

th

at

ind

ustr

y d

oes no

t re

co

gnis

e th

at

they o

pera

te in

a

diff

ere

nt

enviro

nm

ent,

or

where

a c

om

pany f

eels

that

the u

niv

ers

ity is d

em

and

ing

co

mm

erc

ial-

sty

le r

etu

rns, b

ut

is n

ot

will

ing

to

make c

om

merc

ial-

sty

le c

om

mitm

ents

. S

ensitiv

ity t

o w

arr

anties

and

lia

bili

ties is a

lso

hig

h f

or

SM

Es,

and

fo

r th

em

recip

rocity o

f th

ese c

lauses is im

po

rtant

– s

o

that

they a

re n

ot

bein

g a

sked

to

make c

om

mitm

ents

that

the o

ther

part

y is u

nw

illin

g t

o g

ive in

retu

rn.

The is

sue o

f acad

em

ic fre

ed

om

can a

lso

cause c

om

plic

atio

ns h

ere

, as t

he r

ela

tio

nship

betw

een

an a

cad

em

ic a

nd

his

univ

ers

ity m

ay b

e c

ontr

actu

ally

quite d

iffere

nt fr

om

the rela

tio

nship

betw

een

a c

om

pany r

esearc

her

and

his

em

plo

yer. A

gain

this

is m

ost

likely

to

beco

me a

n issue w

here

a

univ

ers

ity is u

nd

ert

akin

g a

mo

re c

ontr

act-

researc

h s

tyle

co

llab

ora

tio

n, b

ut

canno

t b

ehave in t

he

sam

e w

ay a

s a

co

ntr

act

co

mp

any w

ould

.

If t

he a

gre

em

ents

are

up

date

d,

it m

ay b

e w

ort

hw

hile

to

revie

w t

hese c

lauses i

n t

he L

am

bert

ag

reem

ents

to

ensure

that

they s

till

reflect

genera

l p

ractice,

and

that

the b

ala

nce b

etw

een

univ

ers

ity a

nd

co

mm

erc

ial in

tere

sts

is a

fair r

eflectio

n o

f th

e d

iffere

nt

activitie

s a

nticip

ate

d b

y t

he

diff

ere

nt

sty

le o

f ag

reem

ents

.

Influ

ence

of

ind

ustr

y se

cto

r

The n

um

bers

of surv

ey resp

ond

ents

fro

m s

om

e in

div

idual i

nd

ustr

y s

ecto

rs a

re to

o s

mall

to d

raw

any fi

rm c

onclu

sio

ns a

bo

ut

the d

iffere

nce b

etw

een t

hem

, b

ut

by a

gg

reg

ating

the d

ata

, so

me

genera

l tr

end

s can b

e seen.

These tr

end

s sup

po

rt th

e co

mm

ents

w

e re

ceiv

ed

th

at

the

ag

ree

me

nts

are

mo

re w

ide

ly u

se

d in

lif

e s

cie

nc

es a

nd

IC

T t

ha

n m

ore

“p

hysic

al”

se

cto

rs

su

ch

as a

ero

sp

ac

e,

de

fen

ce

, n

uc

lea

r, t

ran

sp

ort

, o

il &

ga

s o

r e

ng

ine

eri

ng

.

189

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

69

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hem

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etri

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Res

pond

ents

from

ompa

nies

who

are

awar

eof

Lam

bert

(n=4

6)

No es

Fig

ure

4.6

- H

ave

you

used

any

of t

he L

amb

ert

agre

emen

ts (i

nclu

din

g in

div

idua

l cla

uses

), o

r th

e o

ther

co

mp

one

nts

of

the

too

lkit

(Out

line

do

cum

ent,

Dec

isio

n tr

ee, G

uid

ance

no

tes)

?

56

% o

f th

e lif

e s

cie

nc

e a

nd

44

% o

f th

e IC

T p

art

icip

an

ts h

ave

use

d t

he

to

olk

it, c

om

pa

red

wit

h 3

1%

of

tho

se

in

ph

ysic

al

sc

ien

ce

or

en

gin

ee

rin

g.

We a

lso

fo

und

that

the r

esearc

h

org

anis

atio

ns r

ep

ort

ed

that

the a

gre

em

ents

are

a little m

ore

lik

ely

to

be h

elp

ful (5

9%

and

65

%

vs 4

7%

) in

neg

otiatio

ns w

ith t

hese g

roup

s.

To

so

me e

xte

nt,

this

reflects

the d

iffere

nt

levels

of

researc

h c

arr

ied

out

by t

hese d

iffere

nt

ind

ustr

y g

roup

s.

Acco

rdin

g t

o t

he late

st

data

fro

m t

he

Offi

ce o

f N

atio

nal S

tatistics

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e p

harm

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dustr

y is b

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the h

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sp

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he U

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olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

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Univ

ers

itie

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am

bert

To

olk

it 8

Years

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u

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ure

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leas

e ra

nk t

he u

sefu

lnes

s o

f th

e to

olk

it an

d a

gre

emen

ts f

or

the

follo

win

g n

ego

tiatio

ns.

Sim

ilarly,

the a

gre

em

ents

are

mo

re li

kely

to

receiv

e a

po

sitiv

e o

r neutr

al r

ecep

tio

n if

they a

re o

ffere

d

to the li

fe s

cie

nces o

r IC

T s

ecto

rs, and

mo

re li

kely

to

receiv

e a

neg

ative recep

tio

n fro

m o

il, g

as a

nd

min

ing

or

transp

ort

. T

he a

ero

sp

ace ind

ustr

y is a

lso

cited

as h

avin

g a

neg

ative a

ttitud

e t

o u

se o

f

the to

olk

it. M

ost o

f th

ese in

dustr

y s

ecto

rs w

ill n

ever o

ffer a L

am

bert

ag

reem

ent as their fi

rst cho

ice,

with life

scie

nces a

gain

the m

ost

likely

to

do

so

(and

much o

f th

is is lik

ely

to

be t

he influ

ence o

f

ag

reem

ents

with G

SK

). T

he a

ero

sp

ace a

nd

defe

nce s

ecto

rs t

end

to

have a

mo

re a

gg

ressiv

e

att

itud

e t

ow

ard

s IP

ow

ners

hip

and

co

nfid

entialit

y t

han t

hat

taken b

y t

he c

om

pro

mis

e p

ositio

n o

f

the L

am

bert

ag

reem

ents

. S

om

e o

f th

is is

fed

thro

ug

h fro

m the term

s o

f fu

nd

ing

fro

m o

rganis

atio

ns

such a

s t

he M

inis

try o

f D

efe

nce,

in o

ther

cases it

is a

mo

re fund

am

enta

l in

dustr

y a

ttitud

e t

o t

rad

e

secre

cy a

nd

als

o r

efle

cts

the lo

ng

pro

duct

develo

pm

ent

tim

es in t

hese ind

ustr

ies.

Part

icula

rly in

the c

ase o

f m

ore

blu

e-s

ky r

esearc

h,

this

can c

ause c

onfli

ct

betw

een t

he u

niv

ers

ity m

issio

n t

o

exp

loit t

he t

echno

log

y w

idely

in d

iffere

nt

are

as a

nd

the c

om

pany d

esire fo

r exclu

siv

ity in a

ll fie

lds.

190

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

71

Cas

e S

tud

y -

Gla

xoS

mit

hK

line’

s u

se o

f th

e L

amb

ert

too

lkit

Gla

xo

Sm

ithK

line (

GS

K)

has a

lways b

een a

str

ong

sup

po

rter

of

the L

am

bert

to

olk

it,

and

was a

mem

ber

of

the I

nner

Wo

rkin

g G

roup

whic

h h

elp

ed

to

dra

ft t

he m

od

el

ag

reem

ents

. G

SK

was

als

o t

he ind

ustr

ial p

art

ner

in t

he fi

rst

ever

Lam

bert

ag

reem

ent,

sig

ned

in M

arc

h 2

00

5 w

ith t

he

Univ

ers

ity o

f M

ancheste

r. U

p to

th

e end

o

f 2

01

2,

GS

K has sig

ned

2

39

d

iffere

nt

Lam

bert

ag

reem

ents

with u

niv

ers

itie

s b

oth

in t

he U

K a

nd

ab

road

.

0101202040

200

2006

200

2008

200

2010

2011

2012

Numberofagreements

our

ea

om

ithin

ep

Lam

bert

1

Lam

bert

2

Lam

bert

Lam

bert

4

Lam

bert

Fig

ure

4.8

- La

mb

ert

agre

emen

ts s

igne

d b

y G

laxo

Sm

ithK

line

in t

he U

K a

nd a

bro

ad.

In t

he U

K,

GS

K h

as L

am

bert

ag

reem

ents

with 3

5 d

iffere

nt

org

anis

atio

ns,

inclu

din

g a

ll b

ut

four

of

the R

ussell

Gro

up

of

researc

h inte

nsiv

e u

niv

ers

itie

s.

Fo

r 2

1 o

f th

ese o

rganis

atio

ns,

GS

K h

as

two

or

mo

re a

gre

em

ents

, in

one c

ase h

avin

g 3

2 s

ep

ara

te a

gre

em

ents

with o

ne u

niv

ers

ity.

So

me

ag

reem

ents

have b

een c

om

ple

ted

very

quic

kly

, w

ith a

turn

aro

und

of le

ss than 2

4 h

ours

. A

ltho

ug

h

many o

f th

e ag

reem

ents

are

fo

r o

ne-o

ff re

searc

h co

llab

ora

tio

ns,

GS

K has als

o used

th

e

tem

pla

tes s

uccessfu

lly t

o s

tructu

re a

£6

 mill

ion,

6 y

ear

researc

h fra

mew

ork

ag

reem

ent

with t

he

Institu

te o

f O

phth

alm

olo

gy.

“The L

am

bert

ag

reem

ents

have s

aved

my team

ho

urs

of neg

otiatio

n tim

e”

said

Malc

olm

Skin

gle

,

Directo

r, A

cad

em

ic Lia

iso

n at

GS

K.

“We have als

o used

th

em

successfu

lly w

ith re

searc

h

org

anis

atio

ns and

univ

ers

itie

s o

vers

eas,

where

it re

ally

help

s th

at

they are

co

nta

ined

o

n a

“neutr

al”

web

site a

t th

e U

K Inte

llectu

al P

rop

ert

y O

ffice”.

GS

K h

as u

sed

the L

am

bert

ag

reem

ents

with 3

2 o

vers

eas o

rganis

atio

ns in 1

5 c

ountr

ies,

main

ly

in E

uro

pe.

The k

no

wle

dg

e a

nd

exp

erience t

hat

GS

K h

as w

ith t

he a

gre

em

ents

, co

mb

ined

with

their r

ep

uta

tio

n a

nd

orig

in a

s a

neg

otiate

d c

om

pro

mis

e h

as h

elp

ed

to

make t

hese a

gre

em

ents

accep

tab

le t

o a

wid

e r

ang

e o

f E

uro

pean institu

tio

ns.

72C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

In o

ther

physic

al

scie

nces a

nd

eng

ineering

secto

rs,

there

are

few

er

fund

am

enta

l d

iffere

nces

betw

een their a

pp

roach a

nd

that o

f th

e L

am

bert

to

olk

it. Fo

r th

ese s

ecto

rs, w

ider

aw

are

ness a

nd

ed

ucatio

n o

f th

e is

sues s

urr

ound

ing

researc

h c

olla

bo

ratio

n w

ith u

niv

ers

itie

s m

ay in

cre

ase u

pta

ke

of

the a

gre

em

ents

.

So

me o

f th

e u

niv

ers

ity r

esp

ond

ents

felt t

hat

the a

gre

em

ents

were

over

co

mp

licate

d f

or

use in

the c

reative s

ecto

r o

r so

cia

l scie

nce r

esearc

h,

where

the k

no

wle

dg

e a

nd

data

gain

ed

fro

m t

he

researc

h a

re m

ore

im

po

rtant

than f

orm

al IP

. O

ur

sam

ple

did

no

t have s

uffi

cie

nt

rep

resenta

tio

n

fro

m t

hese s

ecto

rs t

o d

raw

any fi

rm c

onclu

sio

ns.

191

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

73

Ch

ap

ter

5:

Issu

es a

nd

ap

plic

ati

on

s•

Po

ssib

le e

xte

nsio

ns a

nd

up

date

s t

o t

he e

xis

ting

to

olk

it h

ave b

een s

ug

geste

d.

Fo

r

insta

nce,

sho

win

g h

ow

the a

gre

em

ents

can b

e u

sed

to

assig

n m

ore

flexib

le IP

ow

ners

hip

, exp

loitatio

n r

ights

and

use o

f th

e r

esults c

ould

make t

he t

oo

lkit m

ore

rele

vant

to c

urr

ent

co

llab

ora

tive s

tyle

s.

•

Mo

re t

han h

alf t

he u

niv

ers

itie

s a

nd

co

mp

anie

s t

hat

have u

sed

Lam

bert

said

that

a m

od

el

ag

reem

ent

ap

pro

ach c

ould

be u

sefu

lly e

xte

nd

ed

to

oth

er

typ

es o

f co

llab

ora

tio

n:

oFo

r K

no

wle

dg

e T

ransfe

r P

art

ners

hip

s (K

TP

s), e

sp

ecia

lly fo

r S

ME

s t

hat

get

invo

lved

with t

his

schem

e a

s t

heir fi

rst

inte

ractio

n w

ith u

niv

ers

ity r

esearc

h.

oW

hils

t g

overn

ment

is a

big

fund

er

of re

searc

h,

this

typ

e o

f co

llab

ora

tio

n is m

ore

usually

co

nd

ucte

d a

s a

pro

cure

ment

exerc

ise,

and

met

with c

onsid

era

ble

fru

str

atio

n

by u

niv

ers

itie

s.

75

% o

f th

e r

esp

ond

ents

felt t

hat

the u

se o

f a “

Lam

bert

-lik

e”

ap

pro

ach

wo

uld

be h

elp

ful here

.

oFo

r o

vers

eas p

art

ners

, o

ver

50

% o

f univ

ers

itie

s a

nd

over

40

% o

f co

mp

anie

s w

ho

have u

sed

Lam

bert

fo

und

that

it w

as u

sefu

l even t

ho

ug

h a

ware

ness is c

urr

ently lo

w.

Fo

reig

n p

art

ners

are

often r

ecep

tive w

hen intr

od

uced

to

the a

gre

em

ents

, p

art

icula

rly

if th

ey a

re c

olla

bo

rating

in r

esearc

h w

ithin

the U

K fo

r th

e fi

rst

tim

e w

hen t

he p

resence

of a s

tand

ard

ap

pro

ach w

hic

h is a

ccep

tab

le t

o a

larg

e p

rop

ort

ion o

f U

K u

niv

ers

itie

s is

att

ractive fo

r in

ward

investm

ent.

In t

he A

UR

IL 2

00

9 s

urv

ey,

43

% f

elt t

hat

asp

ects

of

the L

am

bert

to

olk

it c

ould

be im

pro

ved

. In

our

surv

ey,

30

-64

% o

f th

e p

art

icip

ants

who

gave a

n a

nsw

er

felt t

hat

chang

es w

ere

need

ed

to

the to

olk

it, d

ep

end

ing

on w

hic

h p

art

of th

e to

olk

it w

as b

ein

g c

onsid

ere

d. M

any o

f th

e resp

ond

ents

left

this

questio

n b

lank,

and

it

is r

easo

nab

le t

o a

ssum

e t

hat

if t

hey s

kip

ped

the q

uestio

n t

hen

they d

id n

ot

feel th

e n

eed

fo

r any p

art

icula

r chang

es. If t

he “

yes”

answ

ers

are

inste

ad

calc

ula

ted

as a

perc

enta

ge o

f all

tho

se w

ho

were

offere

d t

he q

uestio

n (yes, no

, and

bla

nk r

esp

onses), t

hen

the

pe

rce

nta

ge

of

the

su

rve

y p

art

icip

an

ts w

ho

fe

lt t

ha

t c

ha

ng

es w

ere

ne

ed

ed

to

th

e

too

lkit

is 1

0-2

6%

, w

ith t

he c

om

para

ble

fig

ure

in 2

00

9 b

ein

g 2

5%

. T

he

mo

st

co

mm

on

are

as

su

gg

este

d f

or

ch

an

ge

we

re t

o b

rin

g t

he

ag

ree

me

nts

up

-to

-da

te, p

lus im

pro

ve

me

nts

to

the

ir a

wa

ren

ess a

nd

up

tak

e.

Nearly a

ll th

e s

ug

gestio

ns fo

r chang

es t

o t

he o

ther

part

s o

f th

e

too

lkit w

ere

to

reflect

the a

ltera

tio

ns s

ug

geste

d f

or

the a

gre

em

ents

.

74C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

01020040060080010

0

ofrespondents

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

6)

No

opin

ion

No es

pdate

au

ses

dd

ause

s ther a

g ha

nges

utine

dos

eisi

on tre

e uidan

e note

sware

ness

up

tae

Fig

ure

5.1

- D

o y

ou

thin

k an

y p

arts

of

the

too

lkit

coul

d b

e im

pro

ved

?

Fle

xib

ility

fo

r to

day

’s e

nvir

onm

ent

The m

ost co

mm

on fund

am

enta

l chang

e s

ug

geste

d fo

r th

e a

gre

em

ents

was to

make them

mo

re

flexib

le to

reflect th

e realit

ies o

f co

llab

ora

tive researc

h to

day,

with ro

ug

hly

a q

uart

er

of th

ose w

ho

mad

e c

om

ments

rais

ing

this

issue. T

he e

xis

ting

ag

reem

ents

are

based

main

ly a

round

a “

serv

ice

pro

vis

ion”

mo

del, w

ith t

he u

niv

ers

ity d

oin

g a

ll th

e r

esearc

h w

ith d

iffere

nt

levels

of

financia

l and

inte

llectu

al

inp

ut

fro

m th

e sp

onso

r. To

da

y,

co

lla

bo

rati

ve

re

se

arc

h is

m

ore

o

fte

n a

tr

ue

co

lla

bo

rati

on

, w

ith

b

oth

sid

es

un

de

rta

kin

g

rese

arc

h

on

d

iffe

ren

t a

sp

ec

ts

of

the

pro

gra

m,

an

d m

ore

sh

ari

ng

of

ow

ne

rsh

ip,

exp

ert

ise

, ri

sk

an

d r

ew

ard

. T

he a

gre

em

ents

are

no

t d

esig

ned

to

co

pe w

ell

with ind

ustr

y in-k

ind

inp

ut

in t

he fo

rm o

f kno

w-h

ow

, exp

ert

ise a

nd

mate

rials

.

“Trie

d to

use

the

Lam

ber

t agr

eem

ents

, but

non

e re

ally

fitt

ed; t

oo m

any

optio

ns a

nd c

ould

not

b

alan

ce t

he is

sues

. The

oth

er s

ide

dis

liked

it.”

– U

niv

ers

ity

192

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

75

Cas

e S

tud

y -

Fle

xib

le m

anag

emen

t o

f re

sear

ch o

utp

uts

The U

niv

ers

ity o

f O

xfo

rd a

nd

Gla

xo

Sm

ithK

line (

GS

K)

successfu

lly a

pp

lied

fo

r fu

nd

ing

fro

m t

he

TS

B S

tratified

Med

icin

e Inno

vatio

n P

latf

orm

. T

heir r

esearc

h p

roje

ct

was d

esig

ned

to

evalu

ate

a

new

bio

mark

er

in o

ste

oart

hritis,

to e

xam

ine w

heth

er

it c

ould

be u

sed

to

measure

the p

rog

ress

of tr

eatm

ent and

to

pre

dic

t w

hic

h p

atients

wo

uld

benefit m

ost fr

om

the tre

atm

ent.

GS

K p

rovid

ed

their

exp

erim

enta

l th

era

peutic

for

oste

oart

hritis

for

the

stu

dy,

and

had

als

o

develo

ped

a

bio

chem

ical assay.

The u

niv

ers

ity p

rovid

ed

clin

ical exp

ert

ise,

and

an im

ag

ing

techniq

ue w

hic

h

can e

valu

ate

the p

rog

ress o

f th

e d

isease.

IP m

anag

em

ent

was o

ne o

f th

e centr

al

featu

res o

f th

e re

searc

h co

llab

ora

tio

n,

and

it w

as

imp

ort

ant

to b

oth

part

ies t

o e

nsure

that

they h

ad

access t

o t

he I

P t

hat

they n

eed

ed

to

allo

w

them

to

mo

ve f

orw

ard

with t

heir o

ng

oin

g r

esearc

h,

and

with d

evelo

pm

ent

of

the t

hera

peutic.

The T

SB

fund

ing

co

mp

etitio

n s

ug

geste

d t

he u

se o

f th

e L

am

bert

to

olk

it, and

as b

oth

part

ies h

ad

wo

rked

to

geth

er

pre

vio

usly

usin

g t

he a

gre

em

ents

, th

is w

as a

n o

bvio

us c

ho

ice.

Altho

ug

h t

he

co

llab

ora

tio

n o

nly

had

tw

o p

art

ies,

they a

gre

ed

to

use t

he c

onso

rtiu

m a

gre

em

ents

, ra

ther

than

the o

ne-t

o-o

ne a

gre

em

ents

as a

sta

rtin

g p

oin

t.

“GS

K p

rop

osed

the c

onso

rtiu

m a

gre

em

ents

because w

e w

ante

d t

o u

se s

om

e o

f th

e f

eatu

res,

inclu

din

g t

he a

bili

ty t

o a

dd

part

ners

at

a late

r d

ate

, and

the s

teering

gro

up

pro

ject

manag

em

ent

arr

ang

em

ents

”, exp

lain

ed

C

aro

line Jenkin

s,

Senio

r C

ontr

acts

S

pecia

list

at

the U

niv

ers

ity o

f

Oxfo

rd.

“Because t

his

gave u

s a

fra

mew

ork

that

we w

ere

co

mfo

rtab

le w

ith,

it a

llow

ed

us t

o

focus o

ur

neg

otiatio

ns o

n c

lauses c

overing

the t

ransfe

r o

f m

ate

rials

, and

on h

ow

to

deal w

ith

the I

P i

n t

he p

roje

ct,

whic

h t

urn

ed

out

to b

e q

uite c

om

ple

x.”

The t

wo

part

ies c

onstr

ucte

d a

series o

f IP

term

s,

whic

h d

ivid

ed

the I

P a

risin

g f

rom

the p

roje

ct

into

fo

ur

diff

ere

nt

field

s w

hic

h

co

uld

be h

and

led

sep

ara

tely

. Fo

r exam

ple

, in

this

pro

ject

any I

P w

hic

h r

ela

ted

to

the e

xis

ting

GS

K t

hera

peutics o

r to

the u

se o

f th

e b

iom

ark

er

assay a

long

sid

e t

ho

se t

hera

peutics w

ould

belo

ng

to

G

SK

, b

ut

any IP

re

lating

to

d

evelo

pm

ent

of

the b

iochem

ical

assay syste

m as a

dia

gno

stic b

iom

ark

er

of

dis

ease w

ould

belo

ng

to

the u

niv

ers

ity.

There

were

als

o d

iffere

nt

term

s

rela

ting

to

rig

hts

to

access a

nd

use o

f th

e IP

by t

he o

ther

part

y, p

ote

ntial re

venue s

haring

, and

ho

w t

o h

and

le IP

whic

h w

as c

reate

d jo

intly.

“W

e u

sed

a M

em

ora

nd

um

of U

nd

ers

tand

ing

initia

lly

to id

entify

a s

eries o

f cate

go

ries o

f IP

whic

h w

e w

ante

d t

o h

and

le in d

iffere

nt

ways,

and

then

identified

a c

onsis

tent

term

ino

log

y u

sin

g t

he p

ote

ntial IP

arr

ang

em

ents

in t

he d

iffere

nt

one-t

o-

one L

am

bert

ag

reem

ents

, and

slo

tted

them

into

the o

vera

ll fr

am

ew

ork

. T

his

allo

wed

us t

o b

e

very

effi

cie

nt,

and

to

fo

cus o

ur

effo

rts o

n e

nsuring

that

we a

ll had

the f

reed

om

we n

eed

ed

to

co

ntinue w

ith b

oth

our

acad

em

ic r

esearc

h a

nd

GS

K’s

pro

duct

develo

pm

ent.

”

The r

esearc

h i

s n

ow

in t

he s

eco

nd

year

of

the t

wo

year

pro

ject,

and

pro

mis

ing

results a

re

beg

innin

g t

o e

merg

e t

hat

sho

uld

enhance o

ur

und

ers

tand

ing

of th

e b

iolo

gy o

f o

ste

oart

hritis a

nd

enab

le e

fficie

nt

clin

ical tr

ial d

esig

n.

A n

um

ber

of

org

anis

atio

ns h

ave a

lread

y a

dap

ted

the e

xis

ting

mo

del

ag

reem

ents

to

allo

w f

or

ow

ners

hip

, exp

loitatio

n r

ights

and

use o

f th

e r

esults a

risin

g fro

m t

he c

olla

bo

ratio

n t

o b

e d

ivid

ed

up

in d

iffere

nt w

ays (o

ne c

om

pany refe

rred

to

this

ap

pro

ach a

s “

Lam

bert

3½

”). Typ

ical w

ays this

may b

e a

chie

ved

are

by fi

eld

(a s

pecifi

c b

usin

ess o

r te

chno

log

ical a

rea), b

y tim

e, o

r b

y g

eo

gra

phy,

whic

h a

re a

lread

y c

overe

d b

y t

he L

am

bert

ag

reem

ents

. M

ore

flexib

le s

till,

is t

he a

bili

ty t

o d

ivid

e

the r

esults into

diff

ere

nt

cate

go

ries d

ep

end

ing

on t

he IP

that

they a

re b

ased

on,

or

dep

end

ing

76C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

on t

he t

yp

e o

f IP

that

is b

ein

g g

enera

ted

. Fo

r exam

ple

, in

a c

olla

bo

ratio

n w

here

an e

ng

ineering

co

mp

any is

pro

vid

ing

its c

om

po

nents

to

be teste

d in

a p

rop

rieta

ry u

niv

ers

ity p

erf

orm

ance testing

syste

m,

then t

he r

esults c

an b

e d

ivid

ed

into

tho

se r

ela

ted

to

the c

om

po

nents

them

selv

es a

nd

their p

erf

orm

ance in

th

e te

sts

(w

hic

h sho

uld

b

elo

ng

to

th

e co

mp

any)

and

th

ose re

late

d to

imp

rovem

ents

to

the t

esting

syste

m (

whic

h s

ho

uld

belo

ng

to

the u

niv

ers

ity). A

sim

ple

an

d

fle

xib

le sc

he

me

to

a

llo

w fo

r sp

litt

ing

o

f th

e in

pu

ts a

nd

o

utp

uts

in

to sp

on

so

r a

nd

un

ive

rsit

y-d

om

ina

ted

IP

w

ou

ld

ma

ke

th

e

ag

ree

me

nts

m

ore

a

pp

lic

ab

le

in

the

se

sit

ua

tio

ns. S

om

e o

f th

e c

onso

rtiu

m a

gre

em

ents

alread

y c

onsid

er

this

typ

e o

f arr

ang

em

ent,

and

it w

ould

be r

ela

tively

sim

ple

to

inco

rpo

rate

this

ap

pro

ach i

nto

the o

ne-t

o-o

ne a

gre

em

ents

as

well,

and

po

tentially

to

exte

nd

bo

th o

f th

ese t

o inclu

de a

revenue s

hare

tem

pla

te.

Many o

f th

e s

urv

ey p

art

icip

ants

co

mm

ente

d t

hat

the c

urr

ent

ag

reem

ents

are

to

o inflexib

le a

nd

do

no

t co

ver

all

the n

uances o

f each p

ote

ntial co

llab

ora

tive s

ituatio

n.

By t

ryin

g t

oo

hard

to

be a

“one s

ize fi

ts a

ll” s

olu

tio

n,

they d

o n

ot

ad

eq

uate

ly a

dd

ress a

ny o

ne s

ituatio

n.

This

results in t

he

situatio

n d

iscussed

earlie

r in

the r

ep

ort

where

many w

ill u

se t

he t

em

pla

tes a

s a

go

od

sta

rtin

g

po

int,

but

reco

gnis

e t

he n

eed

to

neg

otiate

each c

ase o

n its

ow

n m

erits

. C

onvers

ely

, so

me s

ee

that

the e

xis

tence o

f th

e m

od

el

can l

ead

to

one p

art

y b

eco

min

g e

ntr

enched

in a

part

icula

r

po

sitio

n a

nd

unab

le t

o c

onsid

er

altern

ative a

pp

roaches.

A m

ore

flexib

le a

pp

roach m

ight

go

so

me w

ay t

o a

llayin

g t

hese c

oncern

s a

nd

incre

ase t

he a

ccep

tab

ility

of

the t

oo

lkit,

altho

ug

h it

is

cle

arly m

ovin

g a

way f

rom

the o

rig

inal in

tentio

n f

or

the a

gre

em

ents

. A

llied

to

this

is t

he c

oncern

that

if th

e ag

reem

ents

are

seen as p

rovid

ing

th

e “c

orr

ect”

answ

er, th

en le

ss exp

erienced

co

llab

ora

tors

may inad

vert

ently s

ign u

p t

o t

erm

s w

itho

ut

co

nsid

ering

the im

plic

atio

ns f

or

their

part

icula

r situatio

n.

“The

dan

ger

with

the

Lam

ber

t ap

pro

ach

is t

hat

the

agre

emen

ts a

re s

een

as in

flexi

ble

, no

n-ne

gotia

ble

, and

the

onl

y “r

ight

” an

swer

, rat

her

than

a s

tart

ing

poi

nt w

ith fl

exib

ility

to

add

ress

ea

ch s

pec

ific

colla

bor

ativ

e si

tuat

ion.

The

y ar

e no

t a

pan

acea

for

eve

ry s

ituat

ion.

” – L

arg

e

Co

mp

any

It is inte

resting

to

co

ntr

ast

the a

pp

roach t

aken w

ith t

he L

am

bert

to

olk

it a

nd

the a

pp

roach b

ein

g

used

by the U

niv

ers

ity-I

nd

ustr

y D

em

onstr

atio

n P

art

ners

hip

(U

IDP

) w

ho

se p

urp

ose is

to

enhance

the v

alu

e o

f co

llab

ora

tive p

art

ners

hip

s b

etw

een u

niv

ers

ity a

nd

ind

ustr

y in

the U

nited

Sta

tes. T

his

initia

tive,

esta

blis

hed

in 2

00

3,

is s

up

po

rted

by t

he G

overn

ment-

Univ

ers

ity-I

nd

ustr

y R

esearc

h

Ro

und

tab

le (G

UIR

R) and

its

overa

ll aim

s a

re c

losely

alig

ned

to

tho

se o

f th

e L

am

bert

to

olk

it1

6.

Its

inaug

ura

l p

roje

ct

was t

o t

ackle

the s

ignifi

cant

issues a

ffecting

univ

ers

ity-i

nd

ustr

y s

po

nso

red

researc

h a

gre

em

ents

thro

ug

h a

series o

f C

ontr

act

Acco

rds,

whic

h a

re n

ow

availa

ble

. M

any o

f

the in

tern

atio

nal c

om

panie

s w

ho

are

mem

bers

of U

IDP

are

als

o the s

am

e c

om

panie

s s

po

nso

ring

researc

h a

t U

K u

niv

ers

itie

s.

The U

IDP

Co

ntr

act

Acco

rds a

re n

ot

well

kno

wn in t

he U

K,

and

only

one s

urv

ey p

art

icip

ant

has u

sed

them

.

16

h

ttp

://s

ites.n

atio

nala

cad

em

ies.o

rg/P

GA

/uid

p/ind

ex.h

tm

193

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

77

Cas

e S

tud

y -

UID

P C

on

trac

t A

cco

rds

In co

llab

ora

tive re

searc

h ag

reem

ents

, th

ere

are

co

mm

only

re

co

gnis

ed

are

as th

at

typ

ically

req

uire a

dd

itio

nal tim

e fo

r re

so

lutio

n.

The U

IDP

Co

ntr

act

Acco

rds a

dd

ress e

ach o

f th

ese a

reas,

with t

he a

im o

f p

rovid

ing

pra

ctical

guid

ance a

nd

deta

iled

refe

rence m

ate

rial

that

help

s b

oth

part

ies u

nd

ers

tand

typ

ical is

sues,

ad

dre

ss t

hem

and

there

by c

olla

bo

rate

mo

re e

ffectively

. E

ach

Acco

rd h

as b

een d

evelo

ped

by a

wo

rkin

g g

roup

with r

ep

resenta

tio

n f

rom

bo

th a

cad

em

ia a

nd

ind

ustr

y.

Each d

ocum

ent

giv

es a

brief

intr

od

uctio

n t

o t

he s

pecifi

c issue a

nd

the p

urp

ose o

f th

e c

lauses,

then c

onsid

ers

the p

rincip

les,

and

giv

es t

yp

ical w

ays in w

hic

h t

hey c

an b

e h

and

led

or

so

lutio

ns

for

part

icula

r situatio

ns.

They d

o n

ot

inclu

de s

pecifi

c leg

al cla

uses,

but

inste

ad

can b

e u

sed

to

dis

cuss t

he p

ote

ntial o

ptio

ns fo

r a p

art

icula

r to

pic

whic

h m

ay t

hen feed

thro

ug

h into

a H

ead

s o

f

Term

s.

An in

itia

l set o

f five C

ontr

act A

cco

rds w

as p

ub

lished

in A

ug

ust 2

00

9 a

nd

five m

ore

were

rele

ased

in J

uly

20

12

. T

he U

IDP

vie

ws t

hem

as liv

ing

do

cum

ents

, up

dating

the initia

l vers

ions a

s n

eed

ed

and

als

o d

evelo

pin

g a

dd

itio

nal

Co

ntr

act

Acco

rds.

They h

ave a

lso

run e

ducatio

nal

web

inars

whic

h e

xp

lain

each a

cco

rd in

deta

il and

are

co

nsid

ering

ad

ap

ting

them

into

a w

iki-

typ

e refe

rence

bank.

Co

mp

lete

d C

ontr

act

Acco

rds

Co

ntr

act

Acco

rds U

nd

er

Develo

pm

ent

0P

refa

ce

11

Co

nfli

ct

of In

tere

st

1S

tate

ment

of W

ork

12

Sp

ecia

lised

Serv

ices/T

esting

Ag

reem

ents

2In

dem

nifi

catio

n1

3B

ud

geting

3P

ub

licatio

ns

14

Data

Use A

gre

em

ents

4O

ther

Researc

h R

esults

15

Gift

s

5B

ackg

round

Inte

llectu

al P

rop

ert

y

6Fo

reg

round

Inte

llectu

al P

rop

ert

y

7E

xp

ort

Co

ntr

ol

8C

op

yrig

hts

and

So

ftw

are

9C

onfid

ential D

isclo

sure

Ag

reem

ents

10

Mate

rial Tra

nsfe

r A

gre

em

ents

78C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Up

dat

ing

Unlik

e s

om

e o

ther

so

urc

es o

f p

reced

ents

whic

h a

re reg

ula

rly revie

wed

, th

e L

am

bert

ag

reem

ents

have n

ot

been r

efr

eshed

or

up

date

d s

ince t

heir i

ntr

od

uctio

n i

n 2

00

5 a

nd

rela

unch i

n 2

00

8.

Th

ere

are

so

me

sp

ec

ific

are

as o

f la

w a

nd

cla

use

s w

hic

h m

ay n

ee

d t

o b

e u

pd

ate

d o

r

cla

rifi

ed

to

bri

ng

th

em

in

lin

e w

ith

mo

de

rn l

eg

al

pra

cti

ce

. S

om

e o

f th

ose w

hic

h w

ere

mentio

ned

by t

he inte

rvie

wees a

re:

New

or

up

dat

ed la

ws

and

pra

ctic

es:

Un

iver

sity

co

nce

rns:

Pra

ctic

al is

sues

:

Oth

er

mo

re g

enera

l p

oin

ts w

ere

ho

w t

o d

eal w

ith c

om

mo

n ind

ustr

y-s

pecifi

c c

lauses w

hic

h m

ay

be

req

uired

. E

xam

ple

s

wo

uld

in

clu

de

ad

ditio

nal

security

p

rovis

ions,

exp

ort

co

ntr

ols

and

co

nfid

entialit

y r

eq

uirem

ents

fo

r d

efe

nce c

olla

bo

ratio

ns,

or

cla

uses r

ela

ting

to

ste

m c

ells

or

the

use o

f hum

an tis

sues in

pharm

aceutical c

olla

bo

ratio

ns, o

r p

rovis

ions fo

r O

pen S

ourc

e o

r C

reative

Co

mm

ons a

pp

roaches i

n s

oft

ware

co

llab

ora

tio

ns.

It w

ould

be c

um

bers

om

e t

o i

nclu

de a

ll th

e

op

tio

ns

in

the

sta

nd

ard

ag

reem

ents

, b

ut

there

co

uld

b

e

so

me

ad

ditio

nal

secto

r-sp

ecifi

c

do

cum

ents

whic

h g

ive c

om

mo

n c

lauses w

hic

h c

an b

e a

dd

ed

in t

o t

he a

gre

em

ents

fo

r d

iffere

nt

ind

ustr

ies.

By c

overing

a r

ang

e o

f in

dustr

ies,

this

co

uld

help

to

bala

nce t

he e

xte

rnal p

erc

ep

tio

n

that

the a

gre

em

ents

are

bia

sed

to

ward

s t

he life s

cie

nces.

194

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

79

Ext

ensi

on

s

A H

ead

s o

f Term

s d

ocum

ent

whic

h iro

ns o

ut

the p

rincip

les o

f th

e c

olla

bo

ratio

n b

efo

re e

nte

ring

into

leg

al d

raft

ing

and

dis

cussio

n o

f sp

ecifi

c a

gre

em

ents

is w

idely

used

by o

ur

sam

ple

in m

any

diff

ere

nt

typ

es o

f neg

otiatio

n a

nd

seen a

s v

ery

usefu

l, b

ut

is n

ot

exp

licitly

inclu

ded

within

the

too

lkit.

The o

utlin

e d

ocum

ents

co

mb

ined

with t

he d

ecis

ion g

uid

e d

o a

sim

ilar

job

, b

ut

as w

as

seen in C

hap

ter

2, th

ese p

art

s o

f th

e t

oo

lkit a

re n

ot

as w

idely

used

, w

hic

h m

ay b

e b

ecause t

hey

are

no

t re

co

gnis

ed

as b

ein

g e

quiv

ale

nt

to a

Head

s o

f Term

s.

Oth

er

po

tential

exte

nsio

ns sug

geste

d fo

r th

e ag

reem

ents

w

ould

b

e to

in

clu

de a fo

rmat

for

am

end

ing

ag

reem

ents

when n

ew

part

ies jo

in o

r le

ave, o

r fo

r chang

es t

o t

he fund

ing

and

pro

ject

tim

e,

a s

imp

ler

and

sho

rter

form

at

for

str

aig

htf

orw

ard

co

llab

ora

tio

ns a

nd

a t

em

pla

te f

or

sub

-

co

ntr

acts

und

er

the a

gre

em

ents

.

Cre

ativ

e u

se o

f m

od

ern

tec

hn

olo

gy

We als

o heard

th

at

the

p

ote

nti

al

of

mo

de

rn IT

te

ch

no

log

y to

e

nh

an

ce

th

e L

am

be

rt

we

bsit

e c

ou

ld m

ak

e t

he

to

olk

it m

ore

ac

ce

ssib

le.

At

a s

imp

le level, a

uto

matic u

pd

ating

of

cla

use n

um

bering

and

cro

ss-r

efe

rences w

ould

be h

elp

ful. A

t th

e m

om

ent,

yo

u c

an d

ow

nlo

ad

a

mo

del ag

reem

ent

fro

m t

he w

eb

site w

ith e

mb

ed

ded

hyp

erlin

ks t

o a

web

vers

ion o

f th

e r

ele

vant

sectio

ns o

f th

e g

uid

ance n

ote

s. T

his

co

uld

no

w b

e im

ple

mente

d t

o s

ho

w t

he d

ocum

ent

directly

on t

he w

eb

site,

with p

op

-up

help

bo

xes t

hat

giv

e t

he r

ele

vant

guid

ance.

Sim

ilarly,

the w

eb

-

based

decis

ion g

uid

e w

as f

elt t

o b

e d

ate

d,

with t

ick b

oxes b

ring

ing

up

instr

uctio

ns t

o m

ove o

n

to s

pecifi

c s

ectio

ns.

This

co

uld

be m

ad

e m

uch m

ore

auto

matic a

nd

ap

pealin

g.

Mo

re am

bitio

usly

, te

chno

log

y w

as p

rop

osed

as a w

ay o

f enco

ura

gin

g p

art

ners

to

ta

ke th

e

Head

s o

f Term

s a

pp

roach,

perh

ap

s b

y a

llow

ing

bo

th p

art

ies t

o i

np

ut

their t

ho

ug

hts

into

an

inte

ractive o

utlin

e a

nd

decis

ion t

ree w

hic

h w

ould

auto

matically

pro

duce a

dra

ft H

ead

s o

f Term

s

do

cum

ent

for

furt

her

dis

cussio

n a

nd

refinem

ent.

Mo

dern

so

cia

l netw

ork

s c

an b

e u

sed

to

build

a c

om

munity a

round

the L

am

bert

to

olk

it u

sin

g

reso

urc

es s

uch a

s L

inked

In a

nd

Tw

itte

r, w

hic

h w

ould

als

o h

elp

to

build

aw

are

ness.

80C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Oth

er a

pp

licat

ions

The s

ug

gestio

ns d

iscussed

ab

ove a

ll re

late

to

up

date

s o

r exte

nsio

ns t

o t

he e

xis

ting

to

olk

it,

but

the s

urv

ey a

lso

lo

oked

at

oth

er

are

as t

hat

mig

ht

benefit

fro

m a

mo

del ag

reem

ent

ap

pro

ach. T

he

thre

e a

reas t

hat

gain

ed

mo

st

inte

rest

were

Kno

wle

dg

e T

ransfe

r P

art

ners

hip

s (

KT

Ps), u

niv

ers

ity

co

llab

ora

tive researc

h w

ith g

overn

ment,

and

fo

r in

tern

atio

nal c

olla

bo

ratio

ns. In

each c

ase, ab

out

54

% o

f th

e s

am

ple

who

have u

sed

Lam

bert

felt t

hat

a m

od

el

ag

reem

ent

ap

pro

ach c

ould

be

usefu

lly e

xte

nd

ed

to

these t

yp

es o

f co

llab

ora

tio

n.

This

wo

uld

no

t necessarily

mean a

pp

lyin

g o

r

ad

ap

ting

the L

am

bert

ag

reem

ents

directly,

and

these o

ptio

ns w

ill b

e d

iscussed

in m

ore

deta

il

belo

w.

010200400600800

100

ofrespondents

Res

pond

ents

who

hae

used

Lam

bert

(n=1

1)

No

not

reui

red

No

othe

rsu

itab

eag

reem

ente

ists

are

ad

No

Lam

bert

are

ado

ers

es

ni

ot (n

=8)

ompa

n

ot (n

=2)

2 (n

=6)

s (n=

1)

trateg

i framew

ors (

n=80

)nte

rnatio

na (n

=88)

Fig

ure

5.2

- A

re t

here

oth

er s

ituat

ions

whe

re a

“La

mb

ert-

like”

ap

pro

ach

and

mo

del

ag

reem

ents

wo

uld

b

e us

eful

?

There

w

as als

o a sim

ilar

level

of

sup

po

rt fo

r a co

mm

on ap

pro

ach to

str

ate

gic

fr

am

ew

ork

part

ners

hip

s, b

ut b

ala

ncin

g this

was a

str

ong

feelin

g that th

ese p

art

ners

hip

s a

re a

ll very

diff

ere

nt

and

so

much l

ess a

menab

le t

o a

sta

nd

ard

tem

pla

te a

pp

roach.

They w

ill a

lso

be l

arg

e,

long

-

term

, exp

ensiv

e r

ela

tio

nship

s w

hic

h w

ill n

atu

rally

get

a lo

t o

f in

tern

al att

entio

n o

n b

oth

sid

es s

o

it is less im

po

rtant

for

these a

gre

em

ents

to

be c

om

ple

ted

quic

kly

, cheap

ly a

nd

easily

. In

term

s

of

prio

rities,

fram

ew

ork

part

ners

hip

s w

ould

rank lo

wer

do

wn t

he lis

t.

195

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

81

Kno

wle

dg

e Tr

ansf

er P

artn

ersh

ips

On t

he o

ther

hand

, K

TP

s a

re a

fairly

sta

nd

ard

ised

typ

e o

f univ

ers

ity-i

nd

ustr

y inte

ractio

n,

where

the g

overn

ment

sp

onso

r co

uld

have a

n i

nfluence o

n t

he t

yp

e o

f ag

reem

ent

that

is u

sed

. A

s

rep

ort

ed

in

Fig

ure

5

.2,

54

% o

f th

e re

sp

on

de

nts

w

ho

h

ave

u

se

d L

am

be

rt fe

lt th

at

a

“L

am

be

rt-l

ike

” a

pp

roa

ch

w

ou

ld b

e u

se

ful

for

KT

Ps,

an

d a

no

the

r 1

3%

fe

lt th

at

the

exis

tin

g L

am

be

rt a

gre

em

en

ts a

re a

lre

ad

y s

uit

ab

le f

or

this

. W

e h

ave id

entified

exam

ple

s

where

a L

am

bert

ag

reem

ent

has b

een s

uccessfu

lly a

dap

ted

fo

r use a

s a

KT

P c

ontr

act,

but

aw

are

ness o

f th

e t

oo

lkit a

mo

ng

st

KT

P m

anag

ers

seem

s t

o b

e m

uch l

ow

er

than w

ithin

our

overa

ll surv

ey s

am

ple

(see the c

ase s

tud

y o

n IP

in K

TP

s fo

r d

eta

ils). T

here

are

als

o s

om

e s

pecifi

c

featu

res o

f th

e s

tructu

re a

nd

term

ino

log

y o

f th

is t

yp

e o

f in

tera

ctio

n w

hic

h m

ean t

hat

a b

esp

oke

KT

P s

tand

ard

ag

reem

ent,

with a

sso

cia

ted

guid

ance n

ote

s a

nd

outlin

e c

ould

be m

ore

ap

pro

priate

.

As w

ith t

he L

am

bert

ag

reem

ents

, it w

ould

be im

po

rtant

that

any s

tand

ard

ap

pro

ach g

ets

buy-i

n

fro

m b

oth

th

e univ

ers

ity and

in

dustr

y sid

es,

and

th

at

it is

w

ell

pub

licis

ed

and

p

rom

ote

d to

enco

ura

ge its

ad

op

tio

n a

s t

he p

refe

rred

ag

reem

ent

for

this

schem

e.

Cas

e S

tud

y -

Man

agin

g in

telle

ctua

l pro

per

ty in

Kno

wle

dg

e Tr

ansf

er P

artn

ersh

ips

At

the last

KT

P M

anag

ers

’ N

atio

nal C

onfe

rence,

held

in H

ert

ford

shire in N

ovem

ber

20

12

, o

ne

wo

rksho

p e

xam

ined

so

me o

f th

e issues s

urr

ound

ing

the m

anag

em

ent

of

IP in K

TP

s.

Aft

er

an

intr

od

uctio

n to

IP

and

ho

w it re

late

s to

K

TP

s,

the p

resente

rs to

ok a sho

rt surv

ey o

f th

ose

pre

sent.

Of

the 3

2 K

TP

pra

ctitio

ners

at

the w

ork

sho

p,

only

38

% w

ere

aw

are

of

the L

am

bert

too

lkit,

and

only

30

% o

f th

ose w

ho

were

aw

are

had

used

the a

gre

em

ents

. In

mo

st

cases t

his

was t

hro

ug

h u

sin

g s

lightly m

od

ified

vers

ions o

f th

e a

gre

em

ents

.

Susan S

utt

le,

KT

P m

anag

er

at

Liv

erp

oo

l Jo

hn M

oo

res U

niv

ers

ity w

as a

jo

int

pre

sente

r at

the

wo

rksho

p.

“We w

ere

surp

rised

that

aw

are

ness o

f th

e L

am

bert

to

olk

it w

as s

o lo

w a

mo

ng

st

the

gro

up

”, s

he c

om

mente

d.

“But

the r

esp

onse fro

m t

he p

art

icip

ants

once t

hey w

ere

intr

od

uced

to

the L

am

bert

ap

pro

ach w

as r

eally

po

sitiv

e, and

we fo

und

that

the d

ecis

ion t

ree a

nd

the r

esearc

h

outlin

e w

ere

part

icula

rly h

elp

ful t

o g

ive a

ho

listic p

ictu

re o

f th

e is

sues in

vo

lved

with IP

in researc

h

co

llab

ora

tio

ns.

Severa

l p

eo

ple

co

mm

ente

d

that

this

kno

wle

dg

e

wo

uld

g

ive

them

m

ore

co

nfid

ence in n

eg

otiatio

ns,

and

that

wid

er

availa

bili

ty o

f fu

rther

wo

rksho

ps o

n h

ow

to

use t

he

too

lkit w

ould

be v

ery

welc

om

e.”

At Liv

erp

oo

l Jo

hn M

oo

res, th

e u

niv

ers

ity h

as recently in

tro

duced

a s

tand

ard

co

ntr

act ag

reem

ent

for

all

their K

TP

s.

This

tem

pla

te w

as b

ased

on L

am

bert

4,

and

has b

een a

dap

ted

to

reflect

the

term

ino

log

y a

nd

str

uctu

re o

f th

e K

TP

schem

e.

This

has s

imp

lified

their p

roced

ure

s s

ignifi

cantly,

by b

ring

ing

to

geth

er

all

the fi

nancia

l, p

ers

onnel, IP,

deliv

ery

and

researc

h p

rog

ram

req

uirem

ents

into

one d

ocum

ent.

In the m

ajo

rity

of cases, th

e IP

term

s in

Lam

bert

4 g

ive the c

om

pany p

art

ner

the a

ccess t

o a

risin

g IP

whic

h t

hey n

eed

, w

hils

t allo

win

g t

he a

cad

em

ic t

he fre

ed

om

to

co

ntinue

in t

heir r

esearc

h.

In o

ther

cases,

where

the u

niv

ers

ity h

as p

re-e

xis

ting

IP,

they h

ave u

sed

the

decis

ion t

ree a

pp

roach t

o id

entify

mo

re s

uitab

le IP

arr

ang

em

ents

whic

h c

an t

hen b

e n

eg

otiate

d

and

ag

reed

with t

he p

art

ner

co

mp

any.

82C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The T

SB

do

no

t p

rovid

e a

sta

nd

ard

fo

rmat

ag

reem

ent

for

KT

Ps, and

the K

TP

po

rtal r

efe

rs t

o t

he

Lam

bert

web

site a

s a

so

urc

e o

f usefu

l ag

reem

ents

and

info

rmatio

n.

It i

s a

co

nd

itio

n o

f T

SB

fund

ing

that

an I

P a

gre

em

ent

is p

ut

in p

lace b

efo

re t

he K

TP

Asso

cia

te b

eg

ins w

ork

. C

ert

ain

univ

ers

itie

s r

un a

larg

e n

um

ber

of

KT

P p

roje

cts

, and

will

typ

ically

als

o h

ave t

heir o

wn s

tand

ard

ag

reem

ents

alread

y a

nd

the a

dm

inis

trative s

up

po

rt n

eed

ed

to

pro

cess t

hem

. Fo

r univ

ers

itie

s

that

only

do

occasio

nal K

TP

s,

ho

wever, t

he b

ure

aucra

tic r

eq

uirem

ents

can b

e d

em

and

ing

and

tim

e-c

onsum

ing

. A

sta

nd

ard

mo

del a

gre

em

ent ap

pro

ach w

ould

als

o b

e v

ery

help

ful t

o the m

any

SM

Es t

hat

get

invo

lved

with t

his

schem

e a

s t

heir fi

rst

inte

ractio

n w

ith u

niv

ers

ity r

esearc

h,

and

there

fore

are

new

bo

th t

o K

TP

s a

nd

to

univ

ers

ity-i

nd

ustr

y c

olla

bo

ratio

n.

Go

vern

men

t

This

surv

ey h

as lo

oked

at

the r

ole

of

go

vern

ment

in r

ela

tio

n t

o t

he L

am

bert

ag

reem

ents

fro

m a

num

ber

of

diff

ere

nt

ang

les.

As th

e ho

st

of

the Lam

bert

w

eb

site,

and

co

mm

issio

ner

of

this

researc

h,

the Inte

llectu

al P

rop

ert

y O

ffice (

an E

xecutive A

gency o

f th

e D

ep

art

ment

for

Busin

ess

and

Skill

s) cle

arly h

as a

n im

po

rtant ro

le to

pla

y, a

nd

the results o

f th

is researc

h w

ill b

e c

onsid

ere

d

by t

he IP

O in futu

re p

olic

y d

evelo

pm

ent.

A n

um

ber

of g

overn

ment

researc

h institu

tes h

ave a

lso

resp

ond

ed

to

the s

urv

ey.

These P

ub

lic S

ecto

r R

esearc

h E

sta

blis

hm

ents

(P

SR

Es)

form

part

of

the w

ider

researc

h c

om

munity,

and

have b

een a

naly

sed

alo

ng

sid

e t

he u

niv

ers

ity s

ecto

r fo

r th

e

purp

oses o

f th

is r

ep

ort

.

Go

vern

men

t as

a f

un

der

The r

ole

of fu

nd

ers

in r

eco

mm

end

ing

and

pro

mo

ting

the u

se o

f p

art

icula

r ag

reem

ents

has b

een

hig

hlig

hte

d earlie

r in

th

is re

po

rt.

The tw

o m

ain

b

od

ies w

hic

h fu

nd

co

llab

ora

tive re

searc

h in

Eng

land

are

Researc

h C

ouncils

UK

(R

CU

K)

and

the T

echno

log

y S

trate

gy B

oard

(T

SB

). T

he

Devo

lved

Auth

orities a

lso

have v

ario

us f

und

ing

mechanis

ms f

or

their s

pecifi

c t

err

ito

ries.

196

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

83

200

10

100

00

000

seof

the

too

itag

reem

ents

shou

dbe

man

dato

rw

here

pub

ifu

ndin

g is

ino

ed

Res

pond

ents

who

are

awar

eof

Lam

bert

(n=1

0)

Rat

ing

erag

e

war

e(n

=124

)

sed

Lam

bert

(n=8

1)

Not

used

Lam

bert

(n=2

2)

Res

ear

hor

gs(n

=6)

M(n

=11)

Larg

eom

pan

(n=1

)

Fig

ure

5.3

- R

atin

g a

vera

ges

of a

gre

emen

t/d

isag

reem

ent w

ith th

e st

atem

ents

on

a sc

ale

of -

2 (s

tro

ngly

d

isag

ree)

to

+2

(str

ong

ly a

gre

e).

Th

ere

wa

s g

en

era

l d

isa

gre

em

en

t in

th

e s

urv

ey (

70

% d

isa

gre

ed

) w

ith

th

e s

ug

ge

sti

on

tha

t th

e t

oo

lkit

or

ag

ree

me

nts

sh

ou

ld b

e m

ad

e m

an

da

tory

if

the

re

se

arc

h u

se

s p

ub

lic

fun

din

g.

Th

is w

as p

art

icu

larl

y e

vid

en

t a

mo

ng

st

larg

e c

om

pa

nie

s,

wh

ere

88

% s

tro

ng

ly

dis

ag

ree

d.

This

was s

een a

s a

retr

og

rad

e s

tep

, and

wo

uld

ero

de t

he c

om

petitive a

dvanta

ge in

term

s o

f flexib

ility

whic

h t

he U

K h

as o

ver

the U

S f

or

exam

ple

, w

here

there

are

sta

tuto

ry t

erm

s

and

ag

reem

ents

w

hic

h m

ust

be used

w

ith cert

ain

fu

nd

ing

so

urc

es.

Nevert

hele

ss,

severa

l

resp

ond

ents

felt t

hat

mo

re c

ould

be d

one b

y t

he fund

ers

, fo

r exam

ple

to

pro

mo

te t

he u

se o

f th

e

too

lkit a

nd

its

IP

ow

ners

hip

pro

vis

ions a

s t

heir r

eco

mm

end

ed

sta

rtin

g p

oin

t fo

r neg

otiatio

ns.

“The

mod

els

need

to

be

bac

ked

up

by

gove

rnm

ent

pol

icie

s an

d a

war

enes

s p

rogr

amm

es t

o p

rom

ote

the

stra

tegi

c b

enefi

ts o

f co

llab

orat

ive

rese

arch

and

the

op

erat

iona

l p

roce

sses

.” –

Univ

ers

ity

At

the m

om

ent,

bo

th T

SB

and

RC

UK

have lin

ks t

o t

he L

am

bert

web

site,

but

these a

re n

ot

very

pro

min

ent,

and

are

pro

vid

ed

mo

re f

or

info

rmatio

n t

han a

s a

reco

mm

end

atio

n o

f w

hat

to u

se.

The r

esearc

h c

ouncils

have a

set

of

join

t g

rant

fund

ing

co

nd

itio

ns p

ub

lished

by R

CU

K1

7,

whic

h

inclu

de s

om

e g

enera

l p

rincip

les t

o e

nsure

that

the r

esults o

f th

eir s

po

nso

red

researc

h a

re u

sed

to the b

enefit o

f so

cie

ty a

nd

the e

co

no

my.

As a

defa

ult p

ositio

n, o

wners

hip

of any IP

arisin

g fro

m

the r

esearc

h r

ests

with t

he o

rganis

atio

n w

hic

h g

enera

tes it,

but

the r

esp

onsib

ility

fo

r ho

w t

his

IP

is b

est

pro

tecte

d,

manag

ed

and

exp

loited

is d

ele

gate

d t

o t

he u

niv

ers

itie

s t

hem

selv

es.

The M

ed

ical

Researc

h C

ouncil

(MR

C)

is o

ne r

esearc

h c

ouncil

whic

h g

oes f

urt

her

in p

lacin

g

exp

licit c

ond

itio

ns o

n u

niv

ers

ity-i

nd

ustr

ial co

llab

ora

tio

ns w

hic

h inclu

de M

RC

sup

po

rt.

The M

RC

Ind

ustr

y C

olla

bo

ratio

n A

gre

em

ent1

8 (

MIC

A)

is a

sim

ple

syste

m w

hic

h i

s a

req

uired

part

of

the

ap

plic

atio

n p

rocess f

or

any r

esearc

h p

rop

osal

for

MR

C f

und

ing

invo

lvin

g a

co

llab

ora

tio

n w

ith

one o

r m

ore

ind

ustr

ial p

art

ners

(co

ntr

ibuting

either

in c

ash o

r in

kin

d). T

he s

chem

e a

llow

s f

or

diff

ere

nt

IP o

wners

hip

pro

vis

ions,

dep

end

ing

on t

he level o

f in

dustr

ial co

ntr

ibutio

n,

and

req

uires

that

a c

olla

bo

ratio

n a

gre

em

ent

is p

ut

in p

lace fo

r w

hic

h it

reco

mm

end

s,

but

do

es n

ot

mand

ate

,

the L

am

bert

ag

reem

ents

(o

r th

e m

ICR

A a

gre

em

ents

fo

r clin

ical re

searc

h) as a

sta

rtin

g p

oin

t.

17

h

ttp

://w

ww

.rcuk.a

c.u

k/d

ocum

ents

/do

cum

ents

/tcfe

c.p

df

18

h

ttp

://w

ww

.mrc

.ac.u

k/F

und

ing

op

po

rtunitie

s/G

rants

/MIC

A/S

pecifi

catio

n/ind

ex.h

tm

84C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The p

leth

ora

of d

iffere

nt fu

nd

ing

schem

es h

ave a

lso

resulted

in d

iffere

nt and

so

metim

es c

onfli

cting

IP a

nd

exp

loitatio

n r

eq

uirem

ents

that

feed

do

wn into

co

llab

ora

tive r

esearc

h a

gre

em

ents

. T

his

can

even h

ap

pen w

ithin

the s

am

e o

rganis

atio

n.

Fo

r exam

ple

, th

e T

SB

reco

mm

end

s t

he L

am

bert

too

lkit o

n i

ts w

eb

site a

nd

in i

ts s

tand

ard

term

s a

nd

co

nd

itio

ns.

Ho

wever, s

evera

l T

SB

fund

ing

co

mp

etitio

ns have an asso

cia

ted

“T

SB

sta

nd

ard

m

od

el

ag

reem

ent”

, w

hic

h is

p

rovid

ed

as a

po

tential te

mp

late

on a

ward

of

the g

rant,

and

is b

ased

on t

he L

INK

ag

reem

ent,

rath

er

than t

he

Lam

bert

to

olk

it. W

hen T

SB

co

ntr

acts

researc

h w

hic

h it

fund

s fully

, th

en it

will u

se a

sep

ara

te T

SB

in-h

ouse a

gre

em

ent,

whic

h a

gain

is n

ot

based

on L

am

bert

. D

iscussio

ns a

re s

till

on-g

oin

g a

bo

ut

the typ

e o

f ag

reem

ents

whic

h w

ill b

e u

sed

by the n

ew

ly fo

rmed

Cata

pult c

entr

es w

hic

h a

re r

un a

s

a T

SB

pro

gra

m w

ith t

he a

im o

f b

rid

gin

g t

he g

ap

betw

een u

niv

ers

itie

s a

nd

busin

ess.

Ag

ain

this

is

likely

to

be a

reco

mm

end

ed

ap

pro

ach, ra

ther

than a

req

uirem

ent,

and

is li

kely

to

invo

lve the d

irect

use o

f th

e L

am

bert

ag

reem

ents

where

ap

pro

priate

. T

he T

SB

is a

lso

co

nsid

ering

an S

ME

IP s

up

po

rt

mo

del w

hic

h is b

ased

on a

Lam

bert

B c

olla

bo

ratio

n m

od

el w

ith a

dd

itio

nal cla

uses t

o a

llow

the

Cata

pult to

sup

po

rt the e

xp

loitatio

n o

f th

e IP. T

SB

wis

hes to

op

era

te a

“so

ft-t

ouch”

ap

pro

ach w

ith

a p

ort

folio

of ag

reem

ents

to

suit a

ll need

s, and

do

es n

ot fe

el t

hat it is

in a

po

sitio

n to

mand

ate

any

part

icula

r ag

reem

ents

, p

art

icula

rly t

o ind

ustr

y. M

and

ato

ry a

gre

em

ents

were

no

t fa

vo

ure

d in o

ur

surv

ey e

ither, b

ut

these d

iffere

nt

att

itud

es t

o u

se o

f th

e t

oo

lkit in d

iffere

nt

circum

sta

nces c

an b

e

co

nfu

sin

g t

o u

niv

ers

itie

s a

nd

ind

ustr

y a

like.

One h

elp

ful

asp

ect

of

TS

B f

und

ing

rule

s w

hic

h m

anag

es t

o f

ocus t

he m

ind

s o

f th

e r

esearc

h

co

llab

ora

tors

is t

heir r

eq

uirem

ent

that

an a

gre

em

ent

is in p

lace b

efo

re t

he f

und

ing

is r

ele

ased

,

and

a t

ime lim

it in w

hic

h t

o c

om

ple

te t

his

ag

reem

ent

oth

erw

ise t

he f

und

ing

is lo

st.

Go

vern

men

t as

a r

esea

rch

co

llab

ora

tor

Go

vern

ment

is als

o d

irectly in

vo

lved

w

ith co

llab

ora

tive re

searc

h,

ho

wever, as a sp

onso

r o

f

univ

ers

ity o

r co

mp

any researc

h w

hic

h is

directly rele

vant to

their g

overn

ment m

issio

n. A

cco

rdin

g

to t

he O

ffice o

f N

atio

nal S

tatistics

19,

Go

ve

rnm

en

t d

ire

ctl

y f

un

de

d o

ve

r £

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illio

n o

f R

&D

in

20

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(in

ad

ditio

n t

o t

he f

und

ing

pro

vid

ed

via

the R

esearc

h C

ouncils

and

HE

FC

E), o

f w

hic

h

ove

r £

2 b

illio

n w

en

t to

th

e u

niv

ers

ity a

nd

in

du

str

y s

ec

tors

, w

ith m

ost

of

the r

em

ain

der

go

ing

to

oth

er

part

s o

f g

overn

ment,

whic

h w

ill inclu

de t

he P

SR

Es.

The a

mo

unt

of

go

vern

ment

fund

ed

exte

rnal R

&D

is lik

ely

to

incre

ase o

ver

the n

ext

few

years

as t

he f

und

ing

cuts

in P

SR

E

bud

gets

co

ntinue t

o b

e im

ple

mente

d.

19

htt

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el/rd

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end

iture

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11

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ex.

htm

l

197

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

85

Secto

r carr

yin

g o

ut

the w

ork

£ m

illio

n

Govern

ment

977

Researc

h C

ouncils

86

Hig

her

Ed

ucation

406

Busin

ess E

nte

rprise

1,6

01

Private

Non-P

rofit

68

Tota

l3,1

38

Tab

le 5

.1 E

xpen

ditu

re o

n R

&D

per

form

ed i

n th

e U

K i

n ea

ch s

ecto

r us

ing

fun

din

g p

rovi

ded

by

UK

G

ove

rnm

ent

in 2

011.

The D

ep

art

ment

of

Health is a

big

fund

er

of

researc

h,

as a

re s

evera

l o

ther

dep

art

ments

, such

as t

he D

ep

art

ment

for

Enviro

nm

ent,

Fo

od

and

Rura

l A

ffairs (

Defr

a), t

he D

ep

art

ment

of

Energ

y

and

Clim

ate

Chang

e (

DE

CC

) and

the D

ep

art

ment

of

Tra

nsp

ort

(D

oT

). T

he M

inis

try o

f D

efe

nce

(Mo

D)

als

o c

om

mis

sio

ns a

larg

e a

mo

unt

of

co

llab

ora

tive r

esearc

h,

mo

st

oft

en b

y t

he D

efe

nce

Scie

nce &

Techno

log

y Lab

ora

tory

(D

stl). Tra

ditio

nally

, th

is has b

een m

ostly th

roug

h la

rge

co

mp

anie

s w

ho

will

pro

ject

manag

e t

he r

esearc

h r

ath

er

than d

irectly w

ith u

niv

ers

itie

s o

r S

ME

s,

but

this

may b

e c

hang

ing

.

010200400600800

100

ofrespondents

Res

pond

ents

who

hae

used

Lam

bert

(om

pani

es n

=4 R

esea

rh

n=)

Not

app

iab

e

Not

hepf

u

uite

usef

u

Mos

tuse

fu

Fig

ure

5.4

- P

leas

e ra

nk t

he u

sefu

lnes

s o

f th

e to

olk

it an

d a

gre

emen

ts f

or

the

follo

win

g n

ego

tiatio

ns.

Left

han

d s

ide

sho

ws

com

pan

y re

spo

nses

, rig

ht h

and

sid

e sh

ow

s re

sear

ch o

rgan

isat

ion

resp

ons

es.

We f

ound

co

nsid

era

ble

fru

str

atio

n a

mo

ng

st

the u

niv

ers

itie

s w

ho

were

recip

ients

of

this

typ

e o

f

fund

ing

, w

hic

h i

s a

pp

roached

by t

he g

overn

ment

dep

art

ments

as a

pro

cure

ment

exerc

ise,

rath

er

than as co

llab

ora

tive re

searc

h.

Go

ve

rnm

en

t w

as th

e g

rou

p w

he

re th

e L

am

be

rt

86C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

ag

ree

me

nts

we

re s

ee

n a

s l

ea

st

he

lpfu

l w

ith

on

ly 4

1%

of

resp

on

de

nts

fin

din

g t

he

m

use

ful,

an

d g

ove

rnm

en

t ra

rely

off

ers

th

e u

se

of

a L

am

be

rt a

gre

em

en

t. W

here

it

do

es s

o

this

is

in

th

e

co

nte

xt

of

pro

vid

ing

in

no

vatio

n

fund

ing

to

o

thers

, ra

ther

than

where

it

is

co

mm

issio

nin

g r

esearc

h f

or

its o

wn u

se.

Sim

ilarly,

it

may b

e p

ositiv

e a

bo

ut

oth

ers

usin

g t

he

ag

reem

ents

when fund

ed

by it

s s

chem

es, b

ut w

ill b

e v

ery

inflexib

le a

bo

ut usin

g it

s o

wn s

tand

ard

pro

cure

ment

co

ntr

acts

if it is c

om

mis

sio

nin

g r

esearc

h. T

his

dual att

itud

e t

o t

he a

gre

em

ents

can

be c

onfu

sin

g a

nd

unhelp

ful.

“The

agr

eem

ents

are

gre

at b

ut w

hen

even

UK

gov

ernm

ent

dep

artm

ents

will

not

use

the

m,

we

cann

ot p

ossi

bly

exp

ect

ind

epen

den

t co

mp

anie

s to

!” –

Univ

ers

ity

As w

as r

ep

ort

ed

in F

igure

5.2

ab

ove,

54

% o

f th

ose

wh

o a

re a

wa

re o

f L

am

be

rt f

elt

th

at

the

use

of a

“L

am

be

rt-l

ike

” a

pp

roa

ch

wo

uld

be

he

lpfu

l fo

r u

niv

ers

ity re

se

arc

h c

olla

bo

rati

on

s

wit

h g

ove

rnm

en

t, a

nd

a f

urt

he

r 2

1%

fe

lt t

ha

t th

e e

xis

tin

g L

am

be

rt a

gre

em

en

ts a

re

alr

ea

dy s

uit

ab

le f

or

this

. 2

4%

als

o f

elt t

hat

the e

xis

ting

ag

reem

ents

wo

uld

be s

uitab

le f

or

busin

ess researc

h c

olla

bo

ratio

ns w

ith g

overn

ment,

and

many o

f th

e is

sues that univ

ers

itie

s face

when w

ork

ing

with g

overn

ment

are

als

o f

aced

by t

he S

ME

secto

r. G

overn

ment

has a

lread

y

ackno

wle

dg

ed

that

it c

an b

e h

ard

fo

r sm

alle

r co

mp

anie

s t

o a

ccess g

overn

ment

dep

art

ments

,

or

for

the p

ub

lic s

ecto

r to

dis

co

ver

busin

esses w

ith the m

ost in

no

vative p

rod

ucts

and

ideas, and

is c

ontinuin

g t

o intr

od

uce s

chem

es t

o a

dd

ress t

his

. Fo

r exam

ple

, th

e S

mall

Busin

ess R

esearc

h

Initia

tive

(SB

RI)

matc

hes

busin

ess

ideas

to

go

vern

ment

challe

ng

es

thro

ug

h

a

sim

plifi

ed

pro

cure

ment

pro

cess.

Invariab

ly, w

hen r

esearc

h falls

into

the s

tand

ard

go

vern

ment

pro

cure

ment

syste

m, th

is m

eans it

must

co

mp

ly w

ith g

overn

ment

pro

cure

ment

rule

s w

hic

h have a num

ber

of

co

nseq

uences.

Firstly,

it r

eq

uires t

he u

se o

f lo

ng

and

co

mp

licate

d p

rocure

ment

ag

reem

ents

whic

h a

re d

esig

ned

for

the p

urc

hase o

f co

mm

erc

ial g

oo

ds a

nd

serv

ices,

rath

er

than u

np

red

icta

ble

researc

h.

One

resp

ond

ent

rep

ort

ed

the u

se o

f a 9

8 p

ag

e d

ocum

ent

for

a P

hD

stu

dent

researc

h p

roje

ct.

These

ag

reem

ents

are

extr

em

ely

rig

id a

nd

inflexib

le, and

no

neg

otiatio

n is

po

ssib

le. T

his

is c

om

po

und

ed

by p

rocure

ment

bein

g c

arr

ied

out

by s

taff w

ho

do

no

t have t

he a

uth

ority

to

make a

ny c

hang

es,

or

co

ntr

acte

d o

ut

alto

geth

er. T

he p

rincip

les t

hat

have b

een d

raw

n o

ut

els

ew

here

in t

he r

ep

ort

of

ap

pro

achin

g c

olla

bo

rative r

esearc

h b

y c

om

ing

to

mutu

al ag

reem

ent

on t

he p

rincip

les t

hat

will

be u

sed

are

no

t ap

plic

ab

le h

ere

, and

this

lead

s t

o h

igh t

ransactio

n c

osts

in t

he u

niv

ers

itie

s.

In

so

me c

ases, th

ese d

ocum

ents

will

req

uire t

hat

any IP

arisin

g fro

m t

he r

esearc

h is o

wned

by t

he

co

mm

issio

nin

g g

overn

ment

dep

art

ment,

but

witho

ut

any inte

rnal str

uctu

re t

o s

up

po

rt t

his

or

to

ensure

the e

xp

loitatio

n o

f th

is IP.

“Con

sist

ency

acr

oss

gove

rnm

ent

dep

artm

ents

, an

d a

ccep

tanc

e b

y th

em o

f th

e is

sues

tha

t ar

e im

por

tant

to

univ

ersi

ties

in t

hese

neg

otia

tions

wou

ld b

e ve

ry h

elp

ful.”

– R

ussell

Gro

up

Univ

ers

ity

The M

oD

genera

lly u

ses t

he D

EFC

ON

70

5 o

r D

EFC

ON

70

3 p

rocure

ment

co

ntr

acts

fo

r th

eir

co

llab

ora

tive r

esearc

h.

These h

ave b

een a

gre

ed

with i

nd

ustr

y b

od

ies,

and

inclu

de s

tand

ard

pro

vis

ions r

ela

ting

to

IP

ow

ners

hip

, b

ased

on t

he p

rincip

les t

hat

backg

round

IP

sho

uld

rem

ain

with i

ts o

rig

inal

ow

ner, a

nd

the I

P c

om

ing

out

of

the r

esearc

h s

ho

uld

go

to

who

ever

is b

est

pla

ced

to

exp

loit it

(usually

ind

ustr

y). M

oD

’s c

oncern

is t

o b

e a

ble

to

use t

he I

P,

and

they w

ill

usually

no

t ta

ke o

wners

hip

excep

t in

sp

ecifi

c c

ircum

sta

nces r

ela

ting

to

natio

nal

security

fo

r

198

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

87

exam

ple

. H

ow

ever, t

hese c

ontr

acts

do

als

o a

llow

fo

r sig

nifi

cant

Mo

D a

ccess t

o p

re-e

xis

ting

IP

ow

ned

by t

he r

esearc

hers

, to

enab

le M

oD

to

use t

he r

esults o

f th

e c

olla

bo

ratio

n.

Altho

ug

h

these co

ntr

acts

m

ay o

ffer

a m

ore

b

ala

nced

ap

pro

ach to

IP

o

wners

hip

in

so

me re

sp

ects

,

nevert

hele

ss t

hey a

re s

till

no

n-n

eg

otiab

le.

Cas

e S

tud

y -

Cen

tre

for

Sci

ence

an

d P

olic

y (C

SaP

) G

lob

al

Un

cert

ain

ties

Co

nfe

ren

ce

In 2

01

2,

the

Ce

ntr

e f

or

Sc

ien

ce

an

d P

olic

y (

CS

aP

) a

t th

e U

niv

ers

ity o

f C

am

bri

dg

e h

oste

d

Dr

Tri

str

am

Rile

y-S

mit

h in

a y

ea

r-lo

ng

Fe

llo

wsh

ip w

hic

h a

ime

d t

o im

pro

ve

th

e e

ng

ag

em

en

t

betw

een

go

vern

men

t N

atio

nal S

ecu

rity

ch

alle

ng

es a

nd

acad

em

ic r

esearc

h.

On

e o

f th

e issu

es

iden

tified

in

his

wo

rk c

on

cern

ed

gu

idelin

es f

or

IP,

wh

ere

he id

en

tified

:

•

Lack o

f tr

ansp

are

ncy a

nd

co

nsis

tency in h

ow

IP

is h

and

led

by t

he g

overn

ment,

diff

ere

nt

ap

pro

aches

•

Co

nfu

sio

n b

etw

een c

olla

bo

ratio

n a

nd

pro

cure

ment

•

Acad

em

ic p

ressure

s t

o o

wn a

nd

co

mm

erc

ialis

e v

s g

overn

ment

need

to

ob

tain

“valu

e”

fro

m p

ub

lic f

und

ing

•

Imp

licatio

ns o

f o

wners

hip

decis

ions

•

Diff

ere

nt

ap

pro

aches b

y d

iffere

nt

univ

ers

itie

s

At

the C

SaP

G

lob

al

Uncert

ain

ties co

nfe

rence,

held

in

D

ecem

ber

20

12

, th

ese is

sues w

ere

exam

ined

in a

sessio

n w

hic

h c

overe

d “

Inte

llectu

al

Pro

pert

y R

ights

and

Pull-

Thro

ug

h:

Turn

ing

Researc

h into

Cap

ab

ilities”.

A g

roup

of ab

out

40

influential N

atio

nal S

ecurity

(N

S) sta

keho

lders

fro

m g

overn

ment

and

acad

em

ia r

evie

wed

the w

ork

-str

eam

s f

rom

the F

ello

wship

. S

om

e o

f th

e

key p

oin

ts r

ais

ed

in t

he d

iscussio

ns w

ere

:

•

Lack o

f aw

are

ness a

nd

ed

ucatio

n o

n IP

on b

oth

go

vern

ment

and

acad

em

ic s

ides

•

Fund

am

enta

l is

sues a

bo

ut

wheth

er

NS

IP

sho

uld

be c

om

merc

ialis

ed

at

all,

and

if

so

,

ho

w t

o b

ala

nce t

he inte

rests

of

natio

nal p

rosp

erity

ag

ain

st

natio

nal security

•

The c

riticalit

y o

f re

tain

ing

ro

yalty-f

ree g

overn

ment

rig

hts

to

use t

he o

utc

om

es o

f th

e

researc

h t

hat

they s

po

nso

r

•

Pro

cure

ment

rule

s c

an g

et

in t

he w

ay o

f effective c

olla

bo

ratio

n a

nd

dis

cussio

n o

f IP

issues

•

Go

vern

ment

ow

ners

hip

of

IP c

an b

e a

barr

ier

to e

ffective c

om

merc

ialis

atio

n in b

oth

NS

and

para

llel exp

loitatio

n r

oute

s

•

A f

ram

ew

ork

lik

e t

he L

am

bert

to

olk

it c

ould

pro

vid

e a

usefu

l str

uctu

re t

o b

ring

cla

rity

to

so

me o

f th

ese d

iscussio

ns a

t th

e b

eg

innin

g o

f co

llab

ora

tive N

S r

esearc

h p

roje

cts

88C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The o

ther

asp

ect

of

takin

g a

pro

cure

ment

ap

pro

ach t

o r

esearc

h is t

hat

sta

nd

ard

go

vern

ment

co

ntr

acts

inclu

de a

num

ber

of

term

s d

esig

ned

to

pro

tect

the d

ep

art

ment

fro

m r

isk,

part

icula

rly

aro

und

liab

ilities a

nd

ind

em

nitie

s. T

hese a

re n

ot

ap

pro

priate

fo

r use w

ith a

univ

ers

ity,

but

canno

t

be r

em

oved

or

ad

juste

d,

and

can r

esult i

n a

univ

ers

ity s

ignin

g u

p t

o t

erm

s t

hat

und

er

oth

er

circum

sta

nces it

wo

uld

be p

rohib

ited

fro

m a

gre

ein

g d

ue to

its c

harita

ble

sta

tus, and

go

vern

ment

giv

en m

issio

n t

o t

he p

ub

lic g

oo

d.

The ag

reed

co

mp

rom

ises co

nta

ined

in

th

e Lam

bert

p

rincip

les and

ag

reem

ents

, p

art

icula

rly

where

they r

ela

te t

o IP

ow

ners

hip

and

exp

loitatio

n,

and

to

lia

bili

ties,

ind

em

nitie

s a

nd

warr

anties

may b

e m

ore

ap

pro

priate

for g

overn

ment sp

onso

red

researc

h than a

str

aig

htf

orw

ard

pro

cure

ment

ap

pro

ach.

Inte

rnat

iona

l use

The L

am

bert

to

olk

it w

as d

raw

n u

p w

ith t

he inte

ntio

n o

f help

ing

with c

olla

bo

ratio

ns b

etw

een U

K

univ

ers

itie

s a

nd

UK

co

mp

anie

s, and

the a

gre

em

ents

all

use E

ng

lish law

as t

heir b

asis

. H

ow

ever,

they c

an a

lso

be u

sed

to

aid

the n

eg

otiatio

n o

f ag

reem

ents

betw

een U

K u

niv

ers

itie

s a

nd

fo

reig

n

co

mp

anie

s,

or

UK

co

mp

anie

s a

nd

fo

reig

n u

niv

ers

itie

s.

As s

een i

n F

igure

5.4

ab

ove,

41

% o

f

co

mp

an

y r

esp

on

de

nts

an

d 5

4%

of

un

ive

rsit

y r

esp

on

de

nts

wh

o h

ave

use

d L

am

be

rt

fou

nd

th

at

it w

as u

se

ful

for

ag

ree

me

nts

wit

h p

art

ne

rs f

rom

ove

rse

as.

Fro

m F

igure

5.2

ab

ove,

53

% o

f th

ose w

ho

have used

Lam

bert

ag

reed

th

at

a “L

am

bert

-lik

e”

ap

pro

ach to

inte

rnatio

nal co

llab

ora

tio

ns w

ould

be h

elp

ful, a

ltho

ug

h o

nly

7%

felt t

hat

the a

gre

em

ents

co

uld

be used

in

th

eir curr

ent

form

fo

r th

is p

urp

ose,

whic

h is

surp

risin

g g

iven th

e m

ore

p

ositiv

e

resp

onse t

o t

he q

uestio

n a

bo

ut

their u

sefu

lness in t

his

situatio

n.

Ove

rse

as c

om

pa

nie

s a

nd

un

ive

rsit

ies, e

ve

n w

he

re t

he

y h

ave

UK

-ba

se

d a

ffilia

tes, se

em

to b

e u

na

wa

re o

f th

e L

am

be

rt a

gre

em

en

ts a

nd

to

olk

it,

an

d d

o n

ot

pro

po

se

its

use

to

the

ir U

K r

ese

arc

h p

art

ne

rs.

If t

hey a

re intr

od

uced

by t

he U

K p

art

y, h

ow

ever, t

he r

esp

onse is

oft

en p

ositiv

e o

r neutr

al, p

art

icula

rly if th

ey a

re c

olla

bo

rating

in r

esearc

h w

ith t

he U

K fo

r th

e fi

rst

tim

e.

The a

dvanta

ges o

f d

oin

g b

usin

ess u

nd

er

a d

eal w

hic

h is ind

ep

end

ent

and

rep

resents

a

neg

otiate

d c

om

pro

mis

e is

att

ractive, and

the d

eals

are

reco

gnis

ed

as b

ein

g a

fair a

nd

reaso

nab

le

po

sitio

n. T

he p

resence o

f a s

tand

ard

ap

pro

ach, w

hic

h is

bro

ad

ly a

ccep

tab

le to

a la

rge p

rop

ort

ion

of U

K u

niv

ers

itie

s, sho

uld

be s

een a

s a

po

sitiv

e b

enefit b

y m

ultin

atio

nal c

om

panie

s c

om

mis

sio

nin

g

researc

h in

th

e U

K.

This

b

enefit

is tw

o-f

old

; firs

tly b

y sett

ing

exp

ecta

tio

ns up

-fro

nt

that

a

reaso

nab

le p

ositio

n w

ill b

e t

aken o

n k

ey i

ssues,

and

seco

nd

ly b

y a

vo

idin

g t

he n

eed

fo

r th

e

co

mp

any to

sta

rt fro

m s

cra

tch in

neg

otiatio

ns w

ith a

new

UK

univ

ers

ity p

art

ner. T

hese a

dvanta

ges

co

uld

be u

sed

to

sup

po

rt t

he e

ffo

rts o

f o

rganis

atio

ns s

uch a

s U

KT

I and

the F

ore

ign O

ffice,

as

well

as t

he u

niv

ers

itie

s t

hem

selv

es w

hen e

nco

ura

gin

g inw

ard

investm

ent

to t

he U

K.

This

need

s

to b

e h

and

led

care

fully

, ho

wever, t

o p

revent

“leakag

e”

of th

e IP

genera

ted

fro

m U

K g

overn

ment

sup

po

rted

researc

h into

fo

reig

n o

wners

hip

witho

ut

ap

pro

priate

retu

rn t

o t

he U

K e

co

no

my.

“We

oper

ate

in a

n in

tern

atio

nal e

nviro

nmen

t and

Lam

ber

t is

not u

nder

stoo

d o

utsi

de

the

UK

.”

– S

ME

199

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

89

At

the m

om

ent,

th

ere

is

no

g

uid

ance ab

out

when o

r ho

w to

use Lam

bert

in

tern

atio

nally

.

Tra

nsla

tio

n o

f th

e c

ontr

acts

can s

olv

e t

he i

ssue o

f la

ng

uag

e,

but

do

es n

ot

ad

dre

ss t

he m

ore

fund

am

enta

l issues o

f in

co

rpo

rating

local l

aw

and

culture

, in

part

icula

r att

itud

es to

asp

ects

such

as d

isp

ute

re

so

lutio

n.

There

are

so

me curr

ent

initia

tives w

ithin

IP

O w

hic

h are

in

vestig

ating

wheth

er

the a

gre

em

ents

can b

e a

dap

ted

rath

er

than just

transla

ted

to

suit lo

cal co

nd

itio

ns in

co

untr

ies s

uch a

s Ind

ia a

nd

So

uth

Ko

rea.

Cas

e S

tud

y -

Jap

anes

e co

llab

ora

tio

n

The D

ep

art

ment

of

Pharm

aceutical, C

hem

ical

& E

nviro

nm

enta

l S

cie

nces a

t th

e U

niv

ers

ity o

f

Gre

enw

ich has a p

ractical

focus,

with exp

ert

ise o

n vario

us fo

rmula

tio

n and

d

rug

d

eliv

ery

syste

ms.

Fo

llow

ing

a

successfu

l co

llab

ora

tio

n

with

a

Fre

nch

co

mp

any,

G

reenw

ich

was

intr

od

uced

b

y th

em

to

a Jap

anese p

harm

aceutical

co

mp

any w

hic

h w

as in

tere

ste

d in

th

eir

researc

h

into

ho

t m

elt

extr

usio

n.

This

te

chniq

ue

can

pro

duce

tab

lets

w

ith

a

num

ber

of

ad

vanta

ges,

inclu

din

g im

pro

ved

so

lub

ility

, ta

ste

m

askin

g and

ta

ble

ts w

hic

h d

isso

lve in

th

e

mo

uth

.

The u

niv

ers

ity s

ug

geste

d a

n a

pp

rop

riate

Lam

bert

ag

reem

ent

for

the c

olla

bo

ratio

n,

und

er

whic

h

the s

po

nso

r o

wns t

he I

P a

nd

the u

niv

ers

ity h

as r

ights

to

use t

he r

esearc

h f

or

no

n-c

om

merc

ial

purp

oses.

The J

ap

anese c

om

pany w

as n

ot

aw

are

of th

e t

oo

lkit b

efo

rehand

, b

ut

were

hap

py t

o

co

nsid

er

it.

Ap

art

fro

m s

om

e c

hang

es t

o j

urisd

ictio

n,

and

so

me m

ino

r ad

justm

ents

to

ensure

that

the u

niv

ers

ity a

nd

co

mp

any h

ave t

he r

esearc

h a

nd

co

mm

erc

ial fr

eed

om

they n

eed

ed

fo

r

the f

utu

re,

the n

eg

otiatio

ns w

ent

very

sm

oo

thly

.

“I t

hin

k t

hat

this

is b

ecause t

he J

ap

anese c

om

pany r

eco

gnis

ed

that

the a

gre

em

ent

offere

d a

fair

and

reaso

nab

le a

pp

roach”

said

Dr

Paul W

illia

ms,

Co

mm

erc

ialis

atio

n M

anag

er

at

the U

niv

ers

ity

of

Gre

enw

ich.

“I t

ry t

o u

se t

he L

am

bert

ag

reem

ents

whenever

I can,

and

find

that

pro

po

sin

g

them

as a

sta

rtin

g p

oin

t can s

peed

up

the s

ign o

ff p

rocess s

ignifi

cantly.

”

The c

olla

bo

rative p

rog

ram

with t

he c

om

pany i

s n

ow

in t

he e

arly s

tag

es o

f a 3

-year

researc

h

pro

gra

mm

e.

The E

uro

pean a

pp

roach to

co

llab

ora

tio

n tend

s to

fo

llow

sim

ilar

princip

les to

the L

am

bert

to

olk

it,

so

it

can b

e e

asie

r to

use t

he L

am

bert

ag

reem

ents

here

. H

ow

ever, t

he L

am

bert

ag

reem

ents

do

no

t co

nsid

er

cro

ss-b

ord

er

issues w

hic

h m

ay a

rise w

hen c

olla

bo

rating

with E

uro

pean p

art

ners

fro

m o

ther

co

untr

ies. T

he e

xis

tence o

f E

U fund

ing

ag

reem

ents

, such a

s D

ES

CA

, als

o m

akes the

neg

otiatio

n o

f co

llab

ora

tio

n a

gre

em

ents

within

Euro

pe r

ela

tively

str

aig

htf

orw

ard

.

Mo

st

of th

e s

urv

ey r

esp

ond

ents

were

mo

re c

oncern

ed

ab

out

imp

rovin

g t

he t

oo

lkit fo

r use in t

he

UK

, ra

ther

than exte

nd

ing

it in

tern

atio

nally

. W

here

sp

ecifi

c are

as w

ere

m

entio

ned

, th

e fa

st

develo

pin

g n

atio

ns w

ith d

iffere

nt cultura

l outlo

oks, such a

s C

hin

a, In

dia

, B

razil,

So

uth

Ko

rea a

nd

Taiw

an w

ere

of

part

icula

r in

tere

st

for

co

llab

ora

tive w

ork

.

Lam

bert

has a

lread

y h

ad

sig

nifi

cant

and

co

ntinuin

g influence a

bro

ad

in t

he t

echno

log

y t

ransfe

r

and

kno

wle

dg

e e

xchang

e c

om

munitie

s.

The E

uro

pean C

om

mis

sio

n h

as a

dap

ted

the L

am

bert

ap

pro

ach t

o b

oth

sta

nd

ard

ag

reem

ents

and

a d

ecis

ion t

ree m

eth

od

olo

gy fo

r its o

wn p

urp

oses.

90C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

The E

uro

pean C

om

mitte

e d

e la

Recherc

he S

cie

ntifiq

ue &

Techniq

ue (C

RE

ST

) w

hic

h a

dvis

ed

the

Euro

pean C

ouncil

pro

duced

an in

tera

ctive t

oo

lkit, clo

sely

based

on t

he L

am

bert

decis

ion g

uid

e,

whic

h g

uid

ed

the u

ser

thro

ug

h a

decis

ion p

rocess a

nd

rais

ed

a s

et

of

str

ate

gic

questio

ns t

o

co

nsid

er

when

pla

nnin

g

and

neg

otiating

co

llab

ora

tive

researc

h

pro

jects

acro

ss

Euro

pean

co

untr

y b

ord

ers

. A

ltho

ug

h t

his

is n

o l

ong

er

sup

po

rted

, th

e r

eso

urc

e i

s s

till

availa

ble

on t

he

Euro

pa a

rchiv

e w

eb

site

20. T

he D

ES

CA

mo

del ag

reem

ents

used

fo

r E

U F

P7

fund

ed

pro

jects

als

o

use the L

am

bert

sta

nd

ard

ag

reem

ent ap

pro

ach, and

were

develo

ped

usin

g a

pro

cess b

ased

on

the L

am

bert

wo

rkin

g g

roup

s, usin

g a

sta

keho

lder

driven p

rocess w

ith e

qual r

ep

resenta

tio

n fro

m

the p

ub

lic and

p

rivate

secto

rs.

This

ap

pro

ach is

co

ntinuin

g,

and

w

e und

ers

tand

th

at

the

Co

mm

issio

n is investig

ating

the p

ossib

ility

of

exte

nd

ing

the d

ecis

ion t

ree a

pp

roach into

a w

eb

-

based

pla

tfo

rm f

or

dra

ftin

g a

tailo

r-m

ad

e r

esearc

h c

olla

bo

ratio

n t

em

pla

te f

or

pub

licly

fund

ed

researc

h

pro

jects

und

er

the

Ho

rizo

n

20

20

E

U

Fra

mew

ork

P

rog

ram

me

for

Researc

h

and

Inno

vatio

n.

The L

am

bert

to

olk

it a

nd

ag

reem

ents

have s

imila

rly i

nsp

ired

the d

evelo

pm

ent

of

co

mp

ara

ble

ap

pro

aches in a

num

ber

of

oth

er

co

untr

ies,

inclu

din

g D

enm

ark

21,

Irela

nd

and

Po

rtug

al. O

ther

co

untr

ies,

such a

s G

erm

any,

and

ind

ustr

y g

roup

s s

uch a

s t

he E

uro

pe-w

ide d

igital te

chno

log

y

ind

ustr

y g

roup

EIC

TA

, o

r E

UC

AR

, th

e E

uro

pean C

ouncil

for

Auto

mo

tive R

&D

or

the A

ero

Sp

ace

and

D

efe

nce

Ind

ustr

ies

Asso

cia

tio

n

of

Euro

pe,

have

als

o

pro

duced

sta

nd

ard

ag

reem

ent

ap

pro

aches f

or

co

llab

ora

tive r

esearc

h,

altho

ug

h t

hese h

ave b

een r

ep

ort

ed

to

be m

ore

str

ong

ly

bia

sed

to

ward

s in

dustr

y in

tere

sts

th

an th

e Lam

bert

to

olk

it2

2.

There

have als

o b

een re

cent

initia

tives in

Fra

nce to

investig

ate

the u

se o

f a L

am

bert

-sty

le a

pp

roach to

co

llab

ora

tive researc

h.

Desp

ite t

hese influences,

the L

am

bert

to

olk

it its

elf r

em

ain

s r

ela

tively

unkno

wn o

uts

ide t

he U

K.

Even in t

his

UK

-based

surv

ey,

only

32

% o

f th

e r

esp

ond

ents

with h

ead

quart

ers

outs

ide t

he U

K

were

aw

are

of th

e L

am

bert

ag

reem

ents

, and

fo

r o

vers

eas resp

ond

ents

our

sam

ple

is li

kely

to

be

very

bia

sed

to

ward

s t

ho

se w

ho

have e

ither

heard

of

Lam

bert

, o

r w

ho

are

actu

ally

based

in t

he

UK

but

have o

vers

eas h

ead

quart

ers

.

20

htt

p:/

/ec.e

uro

pa.e

u/invest-

in-r

esearc

h/p

olic

y/c

rest_

cro

ss_en.h

tm

21

htt

p:/

/fivu.d

k/e

n/r

esearc

h-a

nd

-inno

vatio

n/c

oo

pera

tio

n-b

etw

een-r

esearc

h-a

nd

-inno

vatio

n/c

olla

bo

ratio

n-

betw

een-r

esearc

h-a

nd

-ind

ustr

y/m

od

el-

ag

reem

ent

22

2

00

9 E

xp

ert

Gro

up

on K

no

wle

dg

e T

ransfe

r. F

inal R

ep

ort

– 3

0 N

ovem

ber

20

09

, E

uro

pean C

om

mis

sio

n

200

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

91

Ch

ap

ter

6:

Co

nc

lusio

ns

The in

no

vatio

n la

nd

scap

e in

the U

K lo

oks v

ery

diff

ere

nt

tod

ay c

om

pare

d w

ith w

hen t

he L

am

bert

too

lkit w

as c

onceiv

ed

. N

ew

patt

ern

s o

f in

dustr

ial r

esearc

h a

nd

develo

pm

ent are

no

w m

ore

op

en

to exte

rnal

inp

uts

th

roug

h an “O

pen In

no

vatio

n”

mo

del, w

hic

h b

ring

s in

th

e b

est

researc

h

where

ver

it o

rig

inate

s,

wheth

er

inte

rnal

or

exte

rnal, fr

om

th

e U

K o

r ab

road

. T

his

tr

end

is

co

ntinuin

g a

s e

co

no

mic

pre

ssure

s f

orc

e b

usin

esses t

o f

ocus o

n t

heir c

ore

are

as o

f str

eng

th.

It

is w

idely

reco

gnis

ed

that

well-

manag

ed

researc

h c

olla

bo

ratio

ns b

etw

een p

ub

lic a

nd

private

org

anis

atio

ns c

an b

ring

benefits

to

bo

th s

ides.

Co

llab

ora

tio

n c

an e

nab

le t

he d

evelo

pm

ent

of

new

pro

ducts

and

serv

ices a

nd

bett

er in

no

vatio

n, all

imp

ort

ant co

ntr

ibuto

rs to

eco

no

mic

gro

wth

.

Effective m

anag

em

ent

of

IP is a

n im

po

rtant

part

of

the c

olla

bo

ratio

n a

nd

kno

wle

dg

e e

xchang

e

pro

cess, and

new

ways o

f p

rote

cting

IP

and

facili

tating

valu

e c

reatio

n, p

art

icula

rly in

the c

onte

xt

of

Op

en Inno

vatio

n,

req

uire s

imp

le a

nd

effective w

ays o

f fo

rmin

g r

ela

tio

nship

s.

The n

eg

otiatio

n

of co

llab

ora

tive researc

h a

gre

em

ents

betw

een u

niv

ers

itie

s a

nd

busin

esses rem

ain

s c

onte

ntio

us,

and

will

pro

bab

ly a

lways c

ontinue t

o b

e s

o.

This

is b

ecause b

ala

nce p

oin

ts c

an b

e h

ard

to

find

,

esp

ecia

lly o

n IP

ow

ners

hip

and

valu

atio

n issues,

on p

ub

licatio

n r

ights

and

on lia

bili

ty,

ind

em

nity

and

warr

anty

cla

uses.

This

researc

h s

ho

ws t

hat

the L

am

bert

to

olk

it h

as h

ad

a p

ositiv

e influence o

n s

om

e inno

vative

researc

h p

art

ners

hip

s b

etw

een U

K u

niv

ers

itie

s a

nd

busin

esses. T

here

co

uld

be w

ays to

develo

p

these fo

und

atio

ns t

hro

ug

h b

ett

er

co

mm

unic

atio

n o

f th

e b

est

use o

f th

e e

xis

ting

to

ols

, ta

rgeting

them

at

the o

rganis

atio

ns t

hat

need

them

the m

ost

with e

nd

ors

em

ent

of th

eir b

enefit

in d

iffere

nt

situatio

ns.

We f

ound

that

the L

am

bert

to

olk

it c

an p

rovid

e e

ffective s

up

po

rt n

ot

just

where

bo

th

part

ies a

lread

y u

se it,

but

esp

ecia

lly if

one p

art

ner

has n

o s

tand

ard

ag

reem

ents

, o

r is

new

to

co

llab

ora

tive researc

h, o

r if the p

art

ners

have n

ot co

llab

ora

ted

befo

re. T

his

can a

pp

ly a

cro

ss the

rang

e o

f p

art

ners

hip

s,

but

SM

Es a

re t

he m

ost

likely

to

be u

naw

are

of

the t

oo

lkit,

to h

ave n

o

ag

reem

ents

o

f th

eir o

wn,

and

to

b

e le

ss exp

erienced

in

IP

m

anag

em

ent

and

in

re

searc

h

co

llab

ora

tio

n. T

he researc

h a

lso

sug

gests

that th

ere

co

uld

be p

ote

ntial i

n e

xte

nd

ing

the a

pp

roach

to

oth

er

are

as,

for

exam

ple

in

K

no

wle

dg

e

Tra

nsfe

r P

art

ners

hip

s,

Go

vern

ment

sp

onso

red

univ

ers

ity r

esearc

h,

and

with o

vers

eas c

om

panie

s.

92C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Ap

pe

nd

ix 1

: M

eth

od

olo

gy

The r

esearc

h w

ork

und

erp

innin

g t

his

rep

ort

was c

arr

ied

out

over

the p

erio

d O

cto

ber 

20

12

–

Marc

h 2

01

3,

and

was o

vers

een b

y a

Ste

ering

Gro

up

whic

h c

onta

ined

rep

resenta

tives f

rom

IP

Pra

gm

atics,

IPO

, A

UR

IL,

CB

I, P

raxis

Unic

o a

nd

TS

B.

There

are

tw

o k

ey s

trand

s t

o t

he e

vid

ence b

ase u

sed

to

sup

po

rt t

his

rep

ort

. T

he fi

rst

was a

n

onlin

e s

urv

ey (see A

pp

end

ix 2

fo

r d

eta

ils) w

hic

h w

as w

idely

pub

licis

ed

by IP

Pra

gm

atics a

nd

the

IPO

, as w

ell

as t

hro

ug

h o

ur

Ste

ering

Gro

up

Part

ners

and

oth

er

inte

reste

d g

roup

s.

We t

oo

k t

he

decis

ion t

o a

llow

mo

re t

han o

ne s

urv

ey r

esp

ond

ent

per

org

anis

atio

n.

This

is b

ecause a

ltho

ug

h

there

may b

e a

co

mm

on o

rganis

atio

nal a

pp

roach, co

ntr

act neg

otiatio

n is

a v

ery

pers

onal a

ctivity

and

we fo

und

that d

iffere

nt p

eo

ple

within

the s

am

e o

rganis

atio

n c

ould

have q

uite d

iffere

nt vie

ws

and

exp

eriences.

The s

eco

nd

str

and

of evid

ence w

as a

series o

f in

-dep

th inte

rvie

ws a

nd

case s

tud

ies,

based

on

the o

nlin

e s

urv

ey,

and

carr

ied

out in

pers

on o

r b

y tele

pho

ne w

ith in

div

iduals

fro

m the k

ey s

ecto

rs

invo

lved

. T

he p

art

icip

ants

were

sele

cte

d t

o r

ep

resent

diff

ere

nt

typ

es o

f re

searc

h o

rganis

atio

n,

co

mp

anie

s o

f d

iffere

nt

siz

es a

nd

ind

ustr

y s

ecto

rs, IP

and

leg

al p

rofe

ssio

nals

, and

oth

er

rele

vant

sta

keho

lders

. Fo

ur

mem

bers

of

the o

rig

inal

Inner

Wo

rkin

g G

roup

were

inte

rvie

wed

, as w

ere

rep

resenta

tives fr

om

a num

ber

of

the g

roup

s in

vo

lved

w

ith th

e O

ute

r W

ork

ing

G

roup

and

asso

cia

ted

dis

cussio

ns.

This

was s

up

ple

mente

d b

y i

nfo

rmal

dis

cussio

ns w

ith m

any m

ore

ind

ivid

uals

at

meeting

s a

nd

co

nfe

rences t

hro

ug

ho

ut

the r

esearc

h p

erio

d.

The in-d

ep

th inte

rvie

ws w

ere

carr

ied

out

with:

•

7 R

ussell

Gro

up

univ

ers

itie

s (re

searc

h inte

nsiv

e)

•

5 O

ther

univ

ers

itie

s

•

4 G

overn

ment

researc

h o

rganis

atio

ns

•

8 L

arg

e a

nd

multin

atio

nal co

mp

anie

s (p

harm

aceutical, a

ero

sp

ace,

perf

orm

ance

chem

icals

, o

il &

gas,

ICT,

eng

ineering

)

•

12

SM

E c

om

panie

s (b

iote

chno

log

y, m

ed

ical d

evic

es,

mechanic

al eng

ineering

, nucle

ar,

eng

ineering

researc

h,

transp

ort

, ele

ctr

onic

s,

thin

film

co

ating

s)

•

5 IP

and

leg

al p

rofe

ssio

nals

•

7 O

ther

sta

keho

lders

(R

esearc

h C

ouncils

, T

SB

, G

overn

ment,

AU

RIL

, P

raxis

Unic

o)

In a

ll, s

urv

ey r

esp

onses w

ere

co

llecte

d f

rom

25

6 p

art

icip

ants

, o

f w

hic

h 1

86

(7

3%

) finis

hed

the

surv

ey.

Just

over

half t

he s

urv

ey p

art

icip

ants

(5

2%

) cam

e f

rom

the r

esearc

h c

om

munity,

with

nearly 4

0%

fro

m ind

ustr

y b

oth

larg

e a

nd

sm

all,

and

5%

fro

m t

he IP

or

leg

al p

rofe

ssio

n.

The f

ull

bre

akd

ow

n is s

ho

wn in t

he c

hart

belo

w.

201

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

93

68 2

4 1

8

2 1

146

1

21

4 1

8

12

Num

ber

ofre

spon

dent

s

nier

sit

non

Rus

sero

up

nier

sit

Rus

sero

up

NH th

erR

ther

oer

nmen

t

ompa

nM

ompa

nar

gem

utin

atio

na

rofe

ssio

na s

eri

es

ther

resp

onde

nts

(n=2

4)

Fig

ure

7.1

- W

hat

typ

e o

f o

rgan

isat

ion

do

yo

u w

ork

fo

r?

The ind

ustr

y r

esp

ond

ents

were

well

sp

read

acro

ss t

he m

ost

rele

vant

secto

rs,

with t

he h

ighest

rep

resenta

tio

n fro

m life s

cie

nces,

serv

ices,

ICT

and

aero

sp

ace.

The n

um

bers

of re

sp

ond

ents

in

so

me s

ecto

r cate

go

ries w

ere

to

o s

mall,

ho

wever, t

o d

raw

many g

enera

l co

nclu

sio

ns c

om

paring

resp

onses a

cro

ss s

ecto

rs:

01012020

Numberofrespondents

resp

onde

nts

(n=2

48)

hemias Lif

e sien

es

Meha

nia en

ginee

ring an

d e

tria

ransp

ortero

spa

e

ther m

anufa

turing

i ga

s Mini

ng

attor

neLa

wer

eries

ther

Fig

ure

7.2

- P

leas

e in

dic

ate

the

sect

or

that

bes

t d

escr

ibes

yo

ur w

ork

.

94C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Geo

gra

phic

ally

, th

e v

ast

majo

rity

of th

e r

esp

onses c

am

e fro

m E

ng

land

, w

hic

h is t

o b

e e

xp

ecte

d

as t

hat

is w

here

mo

st

of

the a

dvert

isin

g w

as f

ocused

. O

ther

inp

ut

cam

e f

rom

Sco

tland

, W

ale

s,

No

rthern

Irela

nd

, R

ep

ub

lic o

f Irela

nd

, U

SA

, G

erm

any,

N

eth

erland

s,

Belg

ium

, In

dia

, Jap

an,

Austr

ia,

Canad

a,

Chin

a,

Phili

pp

ines,

Sw

ed

en a

nd

Sw

itzerland

.

ngan

d1

otan

d14aes

8

Nor

ther

nre

and

2

ther 2

Num

ber

ofre

spon

dent

s

resp

onde

nts

(n=2

0)

Fig

ure

7.3

- W

here

is y

our

hea

dq

uart

ers

loca

ted

?

We a

lso

receiv

ed

resp

onses f

rom

tho

se w

ith a

go

od

cro

ss-s

ectio

n o

f exp

erience in n

eg

otiatio

n

of re

searc

h c

olla

bo

ratio

ns,

with t

he g

reate

st

co

ntr

ibutio

n fro

m t

ho

se w

ith e

xte

nsiv

e e

xp

erience,

and

there

fore

go

od

insig

hts

into

the issues a

nd

im

pacts

of

the L

am

bert

to

olk

it.

202

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

95

020406080100

120

pto

1ea

r1

ears

10ea

rs10

ears

Not

ino

ed

Numberofrespondents

resp

onde

nts

(n=2

42)

Fig

ure

7.4

- H

ow

long

hav

e yo

u p

erso

nally

bee

n in

volv

ed in

neg

otia

ting

res

earc

h co

llab

ora

tions

?

Eva

luat

ion

chal

leng

es

There

are

so

me inhere

nt

challe

ng

es in a

ttem

pting

a r

etr

osp

ective e

valu

atio

n o

f an inte

rventio

n

like t

his

. S

om

e o

f th

e k

ey issues w

e h

ave f

aced

are

:

•

Definin

g t

he b

ase lin

e,

whic

h w

as n

ot

measure

d a

t th

e t

ime t

he t

oo

lkit w

as intr

od

uced

•

Lack o

f sp

ecifi

c,

pub

licly

sta

ted

aim

s f

or

the t

oo

lkit

•

No

sp

ecifi

c p

erf

orm

ance ind

icato

rs w

ere

defined

at

the t

ime,

and

no

measure

ment

of

the

sta

tus q

uo

•

Shifting

base lin

e –

can w

e d

isenta

ng

le e

ffects

of

the t

oo

lkit f

rom

wid

er

shifts

in t

he

land

scap

e

•

Inco

mp

lete

metr

ics f

or

IP d

eal m

akin

g a

nd

KE

targ

ets

•

No

syste

matic f

ollo

w u

p o

f activitie

s,

outp

uts

and

outc

om

es

•

Variab

le r

esp

onses t

o d

iffere

nt

surv

ey q

uestio

ns lead

ing

to

variab

le s

am

ple

siz

es

•

Lo

wer

than e

xp

ecte

d u

se o

f th

e a

gre

em

ents

them

selv

es,

lead

ing

to

sm

all

data

sets

of

actu

al exp

erience in t

heir p

erf

orm

ance

96C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Where

po

ssib

le w

e h

ave u

sed

pro

xy m

easure

ments

and

infe

rence f

rom

the a

vaila

ble

evid

ence

to c

ounte

ract

these issues.

We h

ave a

lso

used

att

itud

inal q

uestio

ns t

o m

easure

the s

treng

th o

f

op

inio

n in

our

surv

ey s

am

ple

. W

e fo

und

that th

e e

ffects

of th

e a

gre

em

ents

on tim

e o

r co

st ta

ken

to d

o a

deal c

ould

no

t b

e a

ccura

tely

quantified

retr

osp

ectively

, b

ecause the d

ata

are

no

t ro

utinely

co

llecte

d, and

because t

hese facto

rs a

re s

tro

ng

ly in

fluenced

by t

he n

atu

re o

f each c

olla

bo

ratio

n

as w

ell

as b

y t

he t

yp

e o

f ag

reem

ent

and

ap

pro

ach t

hat

is u

sed

. W

e a

lso

fo

und

it

imp

ossib

le t

o

dra

w accura

te co

mp

ariso

ns b

etw

een “u

sers

” and

“n

on-u

sers

” o

f th

e to

olk

it,

because th

e

majo

rity

of

tho

se w

ho

have u

sed

the t

oo

lkit d

o n

ot

use it

for

all

their n

eg

otiatio

ns,

but

only

in

sp

ecifi

c c

ircum

sta

nces.

Cha

ngin

g la

ndsc

ape

of

kno

wle

dg

e tr

ansf

er

Pro

bab

ly the m

ost d

ifficult a

sp

ect is

the im

po

ssib

ility

of d

isenta

ng

ling

any e

ffects

and

imp

acts

of

the t

oo

lkit f

rom

the s

ignifi

cant

wid

er

chang

es in t

he K

no

wle

dg

e E

xchang

e land

scap

e o

f th

e U

K

over

recent

years

. S

om

e o

f th

e m

ost

imp

ort

ant

chang

es h

ave b

een:

•

The a

im o

f co

llab

ora

tio

ns s

hifting

fro

m “

Techno

log

y T

ransfe

r” t

o “

Kno

wle

dg

e E

xchang

e”

•

Op

en Inno

vatio

n

•

Multin

atio

nal co

llab

ora

tio

n,

and

an incre

ased

will

ing

ness t

o s

ourc

e t

he b

est

researc

h

fro

m a

bro

ad

•

HE

IF a

nd

the r

ise o

f th

e Im

pact

Ag

end

a a

mo

ng

st

fund

ers

•

Shift

tow

ard

s f

ram

ew

ork

ag

reem

ents

and

larg

er

long

er

term

rela

tio

nship

s

•

Easy A

ccess IP

•

KT

2.0

•

Fo

rmatio

n o

f th

e N

atio

nal C

entr

e f

or

Univ

ers

itie

s a

nd

Busin

esses (N

CU

B) b

y T

he C

ouncil

for

Ind

ustr

y a

nd

Hig

her

Ed

ucatio

n (C

IHE

)

•

Oth

er

go

vern

ment

pro

gra

ms,

rep

ort

s a

nd

initia

tives

•

Glo

bal re

cessio

n f

rom

20

09

/10

onw

ard

s

Ag

ain

st

this

backd

rop

, th

e i

mp

act

of

the L

am

bert

to

olk

it m

ay b

e i

nfluential, b

ut

it i

s j

ust

one

sm

all

co

g

in

a

much

big

ger

machin

e

that

esta

blis

hes

and

d

rives

a

successfu

l re

searc

h

co

llab

ora

tio

n.

203

Co

llab

ora

tive R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

97

Appendix

2: S

urv

ey q

uestion a

reas

Fig

ure

8.1

- Q

uest

ion

area

s co

vere

d b

y th

e o

nlin

e su

rvey

and

in-d

epth

inte

rvie

ws.

The o

nlin

e s

urv

ey a

nd

the in-d

ep

th inte

rvie

ws b

oth

co

vere

d t

he s

am

e q

uestio

n a

reas, and

used

the s

am

e q

uestio

ns,

with t

he s

elf-a

dm

inis

tere

d o

nlin

e v

ers

ion c

onsis

ting

of

a s

lightly c

ut-

do

wn

set

of th

e q

uestio

ns u

sed

fo

r th

e in-d

ep

th inte

rvie

ws. T

he t

op

ics c

overe

d a

re s

ho

wn in T

ab

le 8

.1

on t

he o

ther

pag

e.

98C

olla

bo

rative R

esearc

h b

etw

een B

usin

ess a

nd

Univ

ers

itie

s:

The L

am

bert

To

olk

it 8

Years

On

Aw

aren

ess

& In

volv

emen

tU

se

o o o o oIm

pact

s &

Atti

tude

sSu

itabi

lity,

Leg

al is

sues

o

Cha

nges

, Ext

ensi

ons

Cas

e St

udie

s

Tab

le 8

.1 D

etai

ls o

f th

e q

uest

ion

area

s in

clud

ed in

the

onl

ine

surv

ey a

nd in

-dep

th in

terv

iew

s.

204

Concep

t H

ouse

Card

iff R

oad

New

port

NP

10 8

QQ

Tel: 0

300 3

00 2

000

Min

icom

: 0300 0

200 0

15

Fax: 01633 8

17 7

77

For

cop

ies in a

ltern

ative form

ats

ple

ase

conta

ct

our

Info

rmation C

entr

e.

Wh

en

yo

u n

o lo

ng

er

ne

ed

th

is b

oo

kle

t,

ple

ase

re

cyc

le it.

DP

S/IP

Researc

h-0

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205

206

207

208

209

210

211

212

213

[IN

SER

T N

AM

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[IN

SER

T N

AM

E]

MO

DE

L C

OLL

AB

OR

ATI

ON

AG

REE

MEN

T 1

Sce

nar

io -

Th

e In

stit

uti

on o

wn

s th

e R

esu

lts

and

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th

e C

olla

bor

ator

a n

on-e

xclu

sive

lic

ence

to

use

th

e R

esu

lts.

THIS

AG

REE

MEN

TB

ETW

EEN

:

(1)

[IN

SER

T N

AM

E]

the

Inst

itu

tion

(2)

[IN

SER

T N

AM

E]

[LIM

ITED

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R[P

LC]

OR

the

Co

llab

ora

tor

BA

CK

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OU

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D

EFIN

ITIO

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AN

D I

NTE

RP

RE

TATI

ON

Aca

dem

ic P

ub

licat

ion

:

to P

ub

lish

Pu

blic

atio

n

this

Ag

reem

ent:

Bac

kgro

un

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a B

usi

nes

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ay:

the

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lab

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up

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the

Com

men

cem

ent

Dat

e:

Co

nfi

den

tial

In

form

atio

n:

214

conf

iden

tial

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

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rty

for

use

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unde

r th

is

Agr

eem

ent

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ide

ntifi

ed a

s co

nfid

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bef

ore

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hich

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ture

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om

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sclo

sure

, sh

ould

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sona

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iden

tial

];

C

on

tro

l:

the

abili

ty t

o di

rect

the

aff

airs

of

anot

her

pers

on,

whe

ther

by

virt

ue o

f th

e ow

ners

hip

of s

hare

s, b

y co

ntra

ct,

or in

any

oth

er w

ay;

th

e D

ata

Pro

tect

ion

Le

gis

lati

on

w

hile

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y re

mai

n in

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ce,

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Dat

a Pr

otec

tion

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19

98,

the

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pean

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ata

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ectio

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ory

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) Reg

ulat

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00,

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ic

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icat

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ata

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e Pr

ivac

y an

d El

ectr

onic

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mun

icat

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C

Dire

ctiv

e)

Reg

ulat

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20

03,

once

it

com

es in

to fo

rce

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pean

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ener

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a Pr

otec

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ulat

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an

d an

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d re

gula

tions

re

lating

to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

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to a

Par

ty a

nd,

if ap

plic

able

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e gu

idan

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code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

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ry a

utho

rity

;

[th

e E

xter

nal

Fu

nd

ing

: an

y fu

ndin

g or

as

sist

ance

pr

ovid

ed

for

the

Proj

ect

or t

o a

Part

y fo

r us

e in

the

Pro

ject

by

any

third

pa

rty,

in

clud

ing

any

stat

e or

pu

blic

bo

dy;]

[th

e Fi

eld

: [i

nser

t bu

sine

ss a

rea]

;]

th

e Fi

nan

cial

Co

ntr

ibu

tio

n:

the

finan

cial

con

trib

utio

n to

be

prov

ided

by

the

Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

[th

e Fu

nd

ing

Bo

dy:

[i

nser

t de

tails

of

the

body

whi

ch i

s to

pro

vide

th

e Ex

tern

al F

undi

ng;]

[th

e Fu

nd

ing

Co

nd

itio

ns:

th

e te

rms

on w

hich

the

Fun

ding

Bod

y pr

ovid

es

any

Exte

rnal

Fu

ndin

g,

a co

py

of

whi

ch

is

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;]

th

e G

oo

d

Dat

a M

anag

emen

t P

ract

ices

:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

a G

rou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pers

on w

hich

als

o Con

trol

s th

e Col

labo

rato

r;

In

telle

ctu

al

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uation

s,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e Col

labo

rato

r’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

K

no

w-h

ow

: un

pate

nted

te

chni

cal

info

rmat

ion

(inc

ludi

ng

info

rmat

ion

rela

ting

to

inve

ntio

ns,

disc

over

ies,

co

ncep

ts,

met

hodo

logi

es,

mod

els,

re

sear

ch,

deve

lopm

ent

and

test

ing

proc

edur

es,

the

resu

lts

of e

xper

imen

ts,

test

s an

d tr

ials

, m

anuf

actu

ring

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l da

ta,

anal

yses

, re

port

s an

d su

bmis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

:

the

Inst

itutio

n or

th

e Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

th

e P

roje

ct P

erio

d:

the

period

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of th

is

Agr

eem

ent

[and

un

der

any

Fund

ing

Con

dition

s];

th

e R

esu

lts:

al

l in

form

atio

n,

data

, te

chni

ques

, Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

215

th

e Te

rrit

ory

: [w

orld

wid

e] O

R [

inse

rt g

eogr

aphi

cal a

rea]

;

a V

aria

tio

n A

gre

emen

t:

a w

ritt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.

2 Th

e he

adin

gs in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct

its c

onst

ruct

ion

or in

terp

reta

tion.

1.

3 Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

. 1.

4 A r

efer

ence

in t

his

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as

amen

ded,

ex

tend

ed

or

re-e

nact

ed

from

tim

e to

tim

e an

d in

clud

es

all

subo

rdin

ate

legi

slat

ion

mad

e fr

om t

ime

to t

ime

unde

r th

at s

tatu

te o

r st

atut

ory

prov

isio

n.

1.5

A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l. 1.

6 A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce

to t

hat

othe

r ag

reem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss in

br

each

of

this

Agr

eem

ent)

fro

m t

ime

to t

ime.

1.

7 Ref

eren

ces

in t

his

Agr

eem

ent

to c

laus

es a

nd S

ched

ules

are

to

the

clau

ses

and

Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing,

incl

ud

e o

r in

p

arti

cula

r, o

r an

y si

mila

r ex

pres

sion

, ar

e to

be

cons

true

d as

illu

stra

tive

and

do

not

limit

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

.

1.9

The

acts

and

om

issi

ons

of i

ts G

roup

Com

pani

es a

re d

eem

ed t

o be

with

in t

he

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol an

d th

e ac

ts a

nd o

mis

sion

s of

any

con

trac

tor

are

deem

ed

to b

e w

ithin

the

con

trol

of

the

Part

y en

gagi

ng t

hat

cont

ract

or.

[

1.10

Wor

ds a

nd p

hras

es d

efin

ed i

n th

e Fu

ndin

g C

ondi

tions

and

not

def

ined

in

this

Agr

eem

ent

have

the

mea

ning

giv

en t

o th

em in

the

Fund

ing

Con

ditio

ns w

hen

used

in

thi

s Agr

eem

ent.

1.

11

If t

here

is

any

conf

lict

betw

een

the

term

s of

thi

s Agr

eem

ent

and

the

Fund

ing

Con

ditio

ns,

this

Agr

eem

ent

will

pre

vail

in r

elat

ion

to t

he a

rran

gem

ents

as

betw

een

the

Part

ies,

but

it

will

not

affec

t th

e Pa

rtie

s' r

espe

ctiv

e ob

ligat

ions

to

the

Fund

ing

Bod

y un

der

the

Fund

ing

Con

ditio

ns.]

2.

TH

E P

RO

JEC

T 2.

1 Th

e Pr

ojec

t [w

ill b

egin

on]

OR

[be

gan

on]

the

Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il [t

he e

arlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he P

roje

ct o

r an

y la

ter

date

agr

eed

in w

riting

bet

wee

n th

e Pa

rtie

s,

or u

ntil

this

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If

this

Agr

eem

ent

is

ente

red

into

af

ter

the

Com

men

cem

ent

Dat

e,

it w

ill

appl

y

retr

ospe

ctiv

ely

to w

ork

carr

ied

out

in re

latio

n to

the

Pro

ject

on

or af

ter

the

Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in

the

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

are

des

igna

ted

as it

s re

spon

sibi

lity

in t

he

Proj

ect

Plan

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

[t

he P

rinc

ipal

Inv

estig

ator

] O

R [

the

Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

the

Loc

atio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill o

btai

n an

d m

aint

ain

all

regu

lato

ry

and

ethi

cal l

icen

ces,

con

sent

s an

d ap

prov

als

nece

ssar

y to

allo

w it

to

carr

y ou

t th

e ta

sks

allo

tted

to

it in

the

Pro

ject

Pla

n an

d w

ill c

arry

out

the

Pro

ject

in

acco

rdan

ce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

und

er o

r pu

rsua

nt t

o th

is

Agr

eem

ent.

2.

4 Ea

ch o

f th

e Pa

rtie

s w

ill e

nsur

e th

at it

s em

ploy

ees

and

stud

ents

(if

any)

invo

lved

in

the

Proj

ect:

ob

serv

e th

e co

nditi

ons

atta

chin

g to

an

y re

gula

tory

an

d et

hica

l lic

ence

s, co

nsen

ts an

d ap

prov

als;

ke

ep co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct

and

of a

ll Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

co

unte

rsig

ned

by a

n em

ploy

ee o

f th

at P

arty

who

is n

ot a

mem

ber

of t

he r

esea

rch

team

bu

t w

ho

unde

rsta

nds

the

wor

k;

and

com

ply

with

th

e G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

staf

f an

d st

uden

ts (

if an

y) (

incl

udin

g in

the

ca

se o

f th

e Col

labo

rato

r, a

ny s

taff

of

any

Gro

up C

ompa

ny)

invo

lved

in t

he P

roje

ct,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Pa

rty’

s he

alth

an

d sa

fety

an

d se

curity

po

licie

s an

d pr

oced

ures

an

d,

whe

n ac

cess

ing

or u

sing

the

oth

er P

arty

’s i

nfor

mat

ion

syst

ems,

com

ply

with

the

oth

er

Part

y’s

info

rmat

ion

secu

rity

pol

icie

s an

d pr

oced

ures

. 2.

6 [[

The

Inst

itutio

n] O

R [

Each

of

the

Part

ies]

will

com

ply

with

Sch

edul

e 7.

[At

any

time

during

the

Pro

ject

Per

iod,

the

Col

labo

rato

r m

ay r

equi

re c

hang

es t

o Pa

rt 3

of

Sch

edul

e 7,

w

here

suc

h ch

ange

s ar

e ne

cess

ary

to e

nsur

e th

at th

e Pr

ojec

t is

un

dert

aken

in

co

mpl

ianc

e w

ith

the

Col

labo

rato

r’s

appl

icab

le

polic

ies

and

proc

edur

es.]

] 2.

7 Alth

ough

[th

e In

stitu

tion

] O

R [

each

of

the

Part

ies]

will

use

rea

sona

ble

ende

avou

rs

to c

arry

out

the

Pro

ject

in

acco

rdan

ce w

ith t

he P

roje

ct P

lan,

[th

e In

stitu

tion

does

no

t un

dert

ake]

OR

[ne

ither

Par

ty u

nder

take

s] t

hat

any

rese

arch

will

lea

d to

any

pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

O

R [E

ach

of t

he P

artie

s] w

ill p

rovi

de [

the

Col

labo

rato

r] O

R

[oth

er Pa

rty]

w

ith [m

onth

ly][

annu

al]

OR

[q

uart

erly

] re

port

s su

mm

aris

ing

the

prog

ress

of

the

Proj

ect

and

a co

py o

f al

l of

the

Res

ults

. 2.

9 [T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify t

he [

Col

labo

rato

r] O

R [

othe

r]

prom

ptly

aft

er i

dent

ifyin

g an

y Res

ult

whi

ch [

the

Inst

itutio

n] O

R [

it] b

elie

ves

is

pate

ntab

le,

and

will

sup

ply

the

[Col

labo

rato

r] O

R [

othe

r] w

ith c

opie

s of

tha

t Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its

cons

titut

ion,

an

d ha

s ta

ken

all

nece

ssar

y ac

tions

an

d ob

tain

ed

all

auth

oris

atio

ns,

licen

ces,

con

sent

s an

d ap

prov

als,

to

allo

w i

t to

ent

er i

nto

and

perf

orm

thi

s Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Fun

ding

Con

ditio

ns].

216

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal

or c

hem

ical

] m

ater

ial

to t

he o

ther

Pa

rty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

se

para

te

Mat

eria

ls

Tran

sfer

Agr

eem

ent

ente

red

into

be

twee

n th

e Pa

rtie

s in

re

latio

n to

tha

t m

ater

ial.

[2.1

2 If

the

Fun

ding

Con

ditio

ns h

ave

not

alre

ady

been

acc

epte

d by

the

Par

ties,

thi

s Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e Fu

ndin

g Con

ditio

ns

with

in [

30]

days

aft

er t

he d

ate

of t

he F

undi

ng C

ondi

tions

or

offe

r to

pro

vide

Ex

tern

al F

undi

ng.]

[2

.13

Each

of

the

Part

ies

will

:

2.13

.1 if

it is

a p

arty

to

the

Fund

ing

Con

ditio

ns,

com

ply

with

its

oblig

atio

ns u

nder

, an

d th

e co

nditi

ons

of,

the

Fund

ing

Con

ditio

ns;

2.13

.2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he F

undi

ng C

ondi

tions

; an

d

2.13

.3 n

otify

the

oth

er P

arty

in

acco

rdan

ce w

ith c

laus

e 10

.1 i

mm

edia

tely

if

it re

ceiv

es a

ny n

otic

e or

req

uest

fro

m t

he F

undi

ng B

ody.

]

2.14

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

[an

d th

e Fu

ndin

g Bod

y]

and

unle

ss t

he a

dditi

onal

per

son,

the

Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.

FI

NA

NC

IAL

CO

NTR

IBU

TIO

N [

AN

D E

XTE

RN

AL

FUN

DIN

G]

3.1

[The

allo

catio

n of

the

Ext

erna

l Fun

ding

will

be

as s

et o

ut in

the

Pro

ject

Pla

n un

less

th

e Pa

rtie

s un

anim

ousl

y ag

ree

othe

rwis

e in

w

ritin

g.]

Each

Pa

rty

will

ke

ep

com

plet

e an

d ac

cura

te

acco

unts

of

its

ex

pend

iture

on

th

e Pr

ojec

t.

The

Col

labo

rato

r w

ill p

ay t

he F

inan

cial

Con

trib

utio

n to

the

Ins

titut

ion

in a

ccor

danc

e w

ith S

ched

ule

1 w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt b

y th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

be

ing

clai

med

ag

ains

t co

sts

and

expe

nses

in

curr

ed

by

the

Inst

itutio

n, e

ach

invo

ice

mus

t be

acc

ompa

nied

by

a st

atem

ent

cert

ified

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.

2 U

nles

s an

y VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is A

gree

men

t ar

e ex

clus

ive

of V

AT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fr

om t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to an

y ot

her

righ

t or

re

med

y av

aila

ble

to th

e In

stitu

tion,

th

e In

stitu

tion

may

ch

arge

in

tere

st

(bot

h be

fore

an

d af

ter

any

judg

emen

t) o

n th

e am

ount

out

stan

ding

, on

a d

aily

bas

is [

at t

he r

ate

of [

four

] pe

r ce

nt p

er a

nnum

abo

ve t

he L

ondo

n 3

mon

th I

nter

bank

Off

er R

ate

from

tim

e to

tim

e in

for

ce]

OR

[in

acc

orda

nce

with

the

Lat

e Pa

ymen

ts o

f Com

mer

cial

Deb

ts

(Int

eres

t)

Act

19

98

as am

ende

d by

th

e La

te

Paym

ent

of Com

mer

cial

D

ebts

Reg

ulat

ions

201

3].

Tha

t in

tere

st w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or las

t da

te f

or

paym

ent

to

the

actu

al

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e,

and

will

be

co

mpo

unde

d qu

arte

rly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itutio

n on

dem

and.

3.

4 [E

xcep

t as

set

out

in

the

Proj

ect

Plan

,] t

he I

nstit

utio

n w

ill o

wn

all

equi

pmen

t pu

rcha

sed

or c

onst

ruct

ed b

y it,

or

for

it, u

sing

the

Fin

anci

al C

ontr

ibut

ion

[or

any

Exte

rnal

Fun

ding

].

4.

US

E A

ND

EX

PLO

ITA

TIO

N O

F IN

TELL

ECTU

AL

PR

OP

ERTY

RIG

HTS

4.

1 Th

is A

gree

men

t do

es n

ot a

ffec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

da

ta,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. T

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

th

em t

o th

e Pr

ojec

t (o

r its

lic

enso

rs).

N

o lic

ence

to

use

any

Inte

llect

ual Pr

oper

ty

Rig

hts

is g

rant

ed o

r im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.

2 Ea

ch P

arty

gra

nts

the

othe

r a

roya

lty-f

ree,

ful

ly p

aid-

up,

non-

excl

usiv

e lic

ence

to

use

its B

ackg

roun

d fo

r th

e pu

rpos

e of

car

ryin

g ou

t th

e Pr

ojec

t.

Nei

ther

Par

ty m

ay

gran

t an

y su

b-lic

ence

to

use

the

othe

r's

Bac

kgro

und

exce

pt t

hat

the

Col

labo

rato

r m

ay a

llow

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he

Col

labo

rato

r or

any

Gro

up C

ompa

ny,

to u

se t

he I

nstit

utio

n's

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

4.

3 Th

e In

stitu

tion

will

ow

n th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

, an

d m

ay

take

suc

h st

eps

as it

may

dec

ide

from

tim

e to

tim

e, a

t its

exp

ense

, to

reg

iste

r an

d m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty

Rig

hts

in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

ta

king

an

y ac

tion

in

resp

ect

of

any

alle

ged

or

actu

al

infr

inge

men

t of

an

y In

telle

ctua

l Pro

pert

y Rig

hts

in t

he R

esul

ts.

4.

4 Th

e Col

labo

rato

r w

ill e

nsur

e th

at its

em

ploy

ees

and

thos

e of

any

Gro

up C

ompa

ny

invo

lved

in t

he c

reat

ion

of t

he R

esul

ts g

ive

the

Inst

itutio

n su

ch a

ssis

tanc

e (e

xcep

t fin

anci

al a

ssis

tanc

e) a

s th

e In

stitu

tion

may

rea

sona

bly

requ

est

in c

onne

ctio

n w

ith

the

regi

stra

tion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

any

act

ion

in r

espe

ct o

f an

y al

lege

d or

act

ual

infr

inge

men

t of

any

In

telle

ctua

l Pro

pert

y Rig

hts

in a

ny o

f th

e Res

ults

. 4.

5 W

here

any

thi

rd p

arty

suc

h as

a s

tude

nt o

r co

ntra

ctor

is

or h

as b

een

invo

lved

in

the

Proj

ect,

the

Par

ty e

ngag

ing

that

thi

rd p

arty

will

ens

ure

that

tha

t th

ird

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all r

ight

s w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts in

ord

er t

o be

abl

e to

giv

e ef

fect

to

the

prov

isio

ns o

f th

is c

laus

e 4.

4.

6 Th

e In

stitu

tion

gran

ts t

o th

e Col

labo

rato

r a

non-

excl

usiv

e, i

ndef

inite

, [f

ully

pai

d-up

, ro

yalty

fre

e] lic

ence

(w

ith t

he r

ight

to

sub-

licen

se t

o an

y G

roup

Com

pany

and

to

an

y pe

rson

w

orki

ng

for,

or

on

be

half

of,

the

Col

labo

rato

r or

an

y G

roup

Com

pany

, bu

t on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

hat

wor

k, a

nd o

ther

wis

e w

ithou

t th

e righ

t to

sub

-lic

ense

) to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

for

any

pur

pose

[w

ithin

the

Fie

ld]

in t

he T

errito

ry.

5.

AC

AD

EM

IC P

UB

LIC

ATI

ON

AN

D I

MP

AC

T 5.

1 Th

e Pr

ojec

t is

und

erta

ken

by t

he I

nstit

utio

n in

pur

suan

ce o

f a

prim

ary

char

itabl

e pu

rpos

e of

the

Ins

titut

ion;

tha

t is

the

adv

ance

men

t of

edu

catio

n th

roug

h te

achi

ng

and

rese

arch

. Th

eref

ore,

not

with

stan

ding

any

oth

er p

rovi

sion

of

this

Agr

eem

ent,

an

y em

ploy

ee o

r st

uden

t of

the

Ins

titut

ion

(in

each

cas

e w

heth

er o

r no

t in

volv

ed

in t

he P

roje

ct)

may

, pr

ovid

ed t

he I

nstit

utio

n ha

s no

t re

ceiv

ed a

Con

fiden

tialit

y N

otic

e un

der

clau

se 5

.2:

5.

1.1

disc

uss

wor

k un

dert

aken

as

part

of

the

Proj

ect

in I

nstit

utio

n se

min

ars,

tu

torial

s an

d le

ctur

es;

and

217

5.

1.2

Publ

ish

any

Bac

kgro

und

of t

he C

olla

bora

tor

or a

ny o

f th

e Res

ults

. 5.

2 Th

e In

stitu

tion

will

sub

mit

to t

he C

olla

bora

tor,

in

writing

, de

tails

of

any

of t

he

Res

ults

and

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

ny e

mpl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

date

of

the

prop

osed

sub

mis

sion

for

Pub

licat

ion.

Th

e Col

labo

rato

r m

ay,

by g

ivin

g w

ritt

en n

otic

e to

the

Ins

titut

ion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Col

labo

rato

r's

reas

onab

le o

pini

on,

that

del

ay is

nece

ssar

y in

ord

er t

o se

ek

pate

nt o

r ot

her

prot

ectio

n fo

r an

y of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny

of t

he R

esul

ts o

r in

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

re t

o be

Pu

blis

hed;

or

5.

2.2

prev

ent

the

Publ

icat

ion

of a

ny o

f th

e Col

labo

rato

r's

Bac

kgro

und

whi

ch i

s Con

fiden

tial In

form

atio

n an

d w

hich

can

not

be p

rote

cted

by

pate

nt o

r ot

her

Inte

llect

ual Pr

oper

ty R

ight

reg

istr

atio

n [o

r w

hich

may

be

prot

ecte

d in

tha

t w

ay b

ut w

hich

the

Col

labo

rato

r ha

s ch

osen

not

to

prot

ect

in t

hat

way

].

The

Col

labo

rato

r m

ust

give

tha

t Con

fiden

tialit

y N

otic

e w

ithin

[15

] O

R [

30]

days

af

ter

the

Col

labo

rato

r re

ceiv

es

deta

ils

of

the

prop

osed

Pu

blic

atio

n.

If

th

e In

stitu

tion

does

no

t re

ceiv

e a

Con

fiden

tial

ity

Not

ice

with

in

that

pe

riod

, th

e pr

opos

ed

Publ

icat

ion

may

pr

ocee

d,

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch i

s th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

and

whi

ch m

ay

not

be P

ublis

hed

unle

ss t

he C

olla

bora

tor

has

give

n its

writt

en c

onse

nt t

o th

at

Publ

icat

ion]

.

5.3

The

Col

labo

rato

r ac

know

ledg

es t

hat

the

Inst

itutio

n is

req

uire

d by

its

fun

ders

to

dem

onst

rate

the

Ins

titut

ion’

s im

pact

on

soci

ety

and

agre

es t

o pr

ovid

e to

the

In

stitu

tion

any

info

rmat

ion

whi

ch t

he I

nstit

utio

n re

ason

ably

req

uest

s in

ord

er t

o al

low

it

to d

emon

stra

te t

hat

impa

ct p

rovi

ded

that

, un

der

or p

ursu

ant

to t

his

clau

se:

the

Inst

itutio

n w

ill

not

be

entit

led

to

rece

ive

or di

sclo

se

any

of th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

or

any

info

rmat

ion

whi

ch

iden

tifie

s or

al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pur

suan

t to

thi

s cl

ause

will

be

gene

ral i

n na

ture

. 6.

C

ON

FID

ENT

IALI

TY

6.1

[With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Fun

ding

Con

ditio

ns,]

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

pa

rty,

nor

use

for

any

pur

pose

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t,

any

of t

he o

ther

Par

ty's

Con

fiden

tial

Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of

the

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial or

not

to

disc

lose

it

to a

ny

othe

r pa

rty

to t

he e

xten

t th

at:

6.

2.1

if it

is r

ecei

ved

from

the

oth

er P

arty

, it

is k

now

n to

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

(de

mon

stra

ble

by w

ritt

en r

ecor

ds)

befo

re its

rec

eipt

fro

m

the

othe

r Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

ential

ity

to t

he o

ther

Par

ty;

6.2.

2 it

is o

r be

com

es p

ublic

ly k

now

n w

ithou

t an

y br

each

of

this

Agr

eem

ent

or

any

othe

r un

dert

akin

g to

kee

p it

conf

iden

tial

;

6.

2.3

it ha

s be

en o

btai

ned

by t

he R

ecip

ient

or

any

Gro

up C

ompa

ny f

rom

a t

hird

pa

rty

in c

ircum

stan

ces

whe

re t

he R

ecip

ient

has

no

reas

on t

o be

lieve

tha

t th

ere

has

been

a b

reac

h of

an

oblig

atio

n of

con

fiden

tialit

y ow

ed t

o th

e ot

her

Part

y;

6.

2.4

it ha

s be

en

inde

pend

ently

de

velo

ped

by

the

Rec

ipie

nt

or

any

Gro

up

Com

pany

with

out

refe

renc

e to

the

oth

er P

arty

’s C

onfid

ential

Inf

orm

atio

n;

6.2.

5 it

is

disc

lose

d pu

rsua

nt

to

the

requ

irem

ent

of

any

law

or

re

gula

tion

(pro

vide

d, in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of In

form

atio

n Act

20

00 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, no

ne o

f th

e ex

cept

ions

to

that

Ac

t or

tho

se Reg

ulat

ions

ap

plie

s to

th

e in

form

atio

n di

sclo

sed)

or

purs

uant

to

the

ord

er o

f an

y Cou

rt o

f co

mpe

tent

jur

isdi

ctio

n or

the

req

uire

men

t of

any

com

pete

nt r

egul

ator

y au

thor

ity,

and

that

, in

ea

ch

case

w

here

th

e la

w

perm

its,

the

Part

y re

quired

to

m

ake

that

di

sclo

sure

has

inf

orm

ed t

he o

ther

, w

ithin

a r

easo

nabl

e tim

e af

ter

bein

g re

quired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t to

dis

clos

e an

d th

e in

form

atio

n re

quired

to

be d

iscl

osed

; or

6.

2.6

it is

app

rove

d fo

r re

leas

e in

writing

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.

3 Th

e In

stitu

tion

will

no

t be

in

br

each

of

an

y ob

ligat

ion

to

keep

an

y of

th

e Col

labo

rato

r's

Bac

kgro

und

or i

nfor

mat

ion,

con

fiden

tial

or n

ot t

o di

sclo

se i

t to

any

th

ird

part

y, b

y:

6.

3.1

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

] Pu

blis

hing

an

y of

th

em

if th

e In

stitu

tion

has

follo

wed

the

pro

cedu

re i

n cl

ause

5.2

and

has

rec

eive

d no

Con

fiden

tialit

y N

otic

e w

ithin

the

per

iod

stat

ed in

tha

t cl

ause

; or

6.

3.2

mak

ing

them

ava

ilabl

e to

any

stu

dent

of

the

Inst

itutio

n w

ho n

eeds

to

know

th

em i

n or

der

to e

xerc

ise

the

right

s gr

ante

d in

thi

s Agr

eem

ent,

pro

vide

d th

ey a

re n

ot u

sed

exce

pt a

s ex

pres

sly

perm

itted

by

this

Agr

eem

ent

and

the

stud

ent

unde

rtak

es t

o ke

ep t

hat

Bac

kgro

und

and

info

rmat

ion

conf

iden

tial

. 6.

4 Th

e Col

labo

rato

r w

ill no

t be

in

br

each

of

an

y ob

ligat

ion

to ke

ep an

y of

th

e In

stitu

tion'

s Bac

kgro

und,

Res

ults

or

ot

her

info

rmat

ion

conf

iden

tial

or

no

t to

di

sclo

se

them

to

an

y th

ird

part

y,

by

mak

ing

them

av

aila

ble

to

any

Gro

up

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

the

Col

labo

rato

r or

any

Gro

up

Com

pany

, w

ho n

eeds

to

know

the

sam

e in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

th

is A

gree

men

t, p

rovi

ded

they

are

not

use

d ex

cept

as

expr

essl

y pe

rmitt

ed b

y th

is

Agr

eem

ent

and

the

reci

pien

t un

dert

akes

to

keep

the

m c

onfid

ential

. 6.

5 [N

eith

er P

arty

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of t

he o

ther

Par

ty’s

Con

fiden

tial

Inf

orm

atio

n, c

onfid

ential

or

not

to d

iscl

ose

it to

any

thi

rd p

arty

by

disc

losi

ng it

to

the

Fund

ing

Bod

y in

acc

orda

nce

with

the

Fun

ding

Con

ditio

ns.]

6.

6 If

the

Ins

titut

ion

rece

ives

a r

eque

st u

nder

the

Fre

edom

of

Info

rmat

ion

Act

200

0 to

di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

it

will

not

ify t

he C

olla

bora

tor

and

will

con

sult

with

the

Col

labo

rato

r pr

ompt

ly a

nd b

efor

e m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or t

hose

Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

an

d w

ill n

otify

the

Col

labo

rato

r of

the

int

ende

d re

spon

se t

o th

at r

eque

st.

The

Col

labo

rato

r w

ill r

espo

nd t

o th

e In

stitu

tion

with

in 1

0 da

ys a

fter

rec

eivi

ng t

he

218

Inst

itutio

n’s

notic

e if

that

not

ice

requ

ests

the

Col

labo

rato

r to

pro

vide

inf

orm

atio

n to

ass

ist

the

Inst

itutio

n to

det

erm

ine

whe

ther

or

not

an e

xem

ptio

n to

the

Fre

edom

of

In

form

atio

n Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

20

04

appl

ies

to t

he i

nfor

mat

ion

requ

este

d un

der

that

Act

or

thos

e Reg

ulat

ions

. Th

e Col

labo

rato

r m

ay

mak

e re

pres

enta

tions

in

re

latio

n to

th

at

requ

est

and

the

prop

osed

res

pons

e an

d m

ay r

eque

st a

men

dmen

ts t

o th

e pr

opos

ed r

espo

nse.

[At

the

Col

labo

rato

r’s

requ

est,

exc

ept

in o

rder

to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

th

e In

form

atio

n Com

mis

sion

er

or

the

Info

rmat

ion

Trib

unal

, th

e In

stitu

tion

will

not

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

in

resp

onse

to

a

requ

est

unde

r th

e Fr

eedo

m o

f In

form

atio

n Act

200

0 or

the

Env

iron

men

tal

Info

rmat

ion

Reg

ulat

ions

20

04 p

rovi

ded

that

:

6.6.

1 th

e Col

labo

rato

r m

akes

th

at

requ

est

in

writin

g w

ithin

10

da

ys

afte

r re

ceiv

ing

the

Inst

itution

’s n

otic

e gi

ven

unde

r th

is c

laus

e 6.

6; a

nd

6.

6.2

the

Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

P

arti

es),

an

d ke

eps

them

fu

lly

and

effe

ctiv

ely

inde

mni

fied,

ag

ains

t ea

ch

and

ever

y cl

aim

m

ade

agai

nst

any

of

the

Inde

mni

fied

Part

ies

as a

res

ult

of t

he I

nstit

utio

n no

t m

akin

g an

y di

sclo

sure

of

th

e Col

labo

rato

r’s

Con

fiden

tial

info

rmat

ion

in re

spon

se to

a

requ

est

unde

r th

e Fr

eedo

m

of

Info

rmat

ion

Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4.]

6.7

Nei

ther

Par

ty w

ill u

se t

he o

ther

’s n

ame

or t

he n

ame

of a

ny o

f th

e Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

log

o in

any

pre

ss r

elea

se o

r pr

oduc

t ad

vert

isin

g, o

r fo

r an

y ot

her

prom

otio

nal pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y’s

writt

en c

onse

nt.

6.8

[Not

with

stan

ding

an

y ot

her

prov

isio

n of

th

is

Agr

eem

ent,

th

e In

stitu

tion

may

id

entif

y th

e su

ms

rece

ived

fro

m t

he C

olla

bora

tor

in t

he I

nstit

utio

n’s

Ann

ual R

epor

t an

d si

mila

r pu

blic

atio

ns][

, an

d th

e Col

labo

rato

r m

ay,

in o

rder

to

com

ply

with

any

tr

ansp

aren

cy r

epor

ting

oblig

atio

ns t

o w

hich

it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.

LIM

ITA

TIO

N O

F LI

AB

ILIT

Y

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

em

ploy

ees

invo

lved

in

the

Proj

ect

or l

ikel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed i

n th

e Pr

ojec

t],

but

not

havi

ng m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r),

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

st

uden

ts

who

w

ork

on

the

Proj

ect,

or

th

e co

nten

t or

us

e of

an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ection

with

the

Pr

ojec

t, w

ill n

ot c

onst

itute

or

resu

lt in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

O

R

7.

1 N

eith

er o

f th

e Pa

rtie

s m

akes

any

rep

rese

ntat

ion

or g

ives

any

war

rant

y to

the

ot

her

that

any

adv

ice

or i

nfor

mat

ion

give

n by

it

or a

ny o

f its

em

ploy

ees

or

stud

ents

who

wor

k or

hav

e w

orke

d on

the

Pro

ject

, or

the

con

tent

or

use

of a

ny

Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in a

ny i

nfring

emen

t of

thi

rd-p

arty

righ

ts.

7.2

Exce

pt

unde

r [t

he

war

rant

y in

cl

ause

7.

1 an

d]

the

inde

mni

ties

in

clau

ses

[6.6

, ]7

.3 a

nd 7

.4,

and

subj

ect

to c

laus

e 7.

8, n

eith

er P

arty

acc

epts

any

liab

ility

or

resp

onsi

bilit

y fo

r an

y us

e w

hich

may

be

mad

e by

the

oth

er P

arty

of

any

of t

he

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

th

e Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

. 7.

3 Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] (

the

Ind

emn

ifyi

ng

P

arty

) w

ill i

ndem

nify

the

oth

er P

arty

, an

d its

em

ploy

ees

and

stud

ents

(to

geth

er

the

Ind

emn

ifie

d

Par

ties

), an

d ke

ep th

em f

ully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

re

sult

of t

he I

ndem

nify

ing

Part

y’s

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

and

any

m

ater

ials

, w

orks

or

info

rmat

ion

rece

ived

fro

m a

n In

dem

nifie

d Pa

rty

purs

uant

to

this

Agr

eem

ent,

pro

vide

d th

at t

he I

ndem

nifie

d Pa

rty

mus

t:

7.

3.1

prom

ptly

not

ify t

he I

ndem

nify

ing

Part

y of

det

ails

of

the

clai

m;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te its

los

ses

and

expe

nses

aris

ing

from

the

cl

aim

; 7.

3.4

allo

w th

e In

dem

nify

ing

Part

y to

ha

ve th

e co

nduc

t of

th

e de

fenc

e an

d se

ttle

men

t of

the

cla

im;

and

7.3.

4 gi

ve t

he I

ndem

nify

ing

Part

y al

l rea

sona

ble

assi

stan

ce (

at t

he I

ndem

nify

ing

Part

y’s

expe

nse)

in d

ealin

g w

ith t

he c

laim

.

Th

e in

dem

nity

in

this

cla

use

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, its

de

liber

ate

brea

ch o

f th

is A

gree

men

t or

its

kno

win

g in

frin

gem

ent

of a

ny t

hird

pa

rty’

s In

telle

ctua

l Pr

oper

ty R

ight

s or

its

kno

win

g br

each

of

any

third

part

y’s

righ

ts o

f co

nfid

ence

. 7.

4 Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all

cost

s, c

laim

s, d

eman

ds,

expe

nses

an

d lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

it o

f Sch

edul

e 6.

7.

5 Sub

ject

to

cl

ause

7.

7 an

d 7.

8, an

d ex

cept

un

der

the

inde

mni

ties

in

cl

ause

s [6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

thi

s Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot e

xten

d to

:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; 7.

5.2

any

loss

of

prof

its,

loss

of

reve

nue,

lo

ss o

f da

ta,

loss

of

con

trac

ts o

r op

port

unity

, w

heth

er d

irec

t or

indi

rect

,

even

, in

eac

h ca

se,

if th

e Pa

rty

brin

ging

the

cla

im h

as a

dvis

ed t

he o

ther

of

the

poss

ibili

ty o

f th

ose

loss

es,

or if

the

y w

ere

with

in t

he o

ther

Par

ty's

con

tem

plat

ion.

7.

6 Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

oth

er

for

all a

nd a

ny b

reac

hes

of t

his

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er

way

out

of

the

subj

ect

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill

not

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n][t

he p

ortio

n of

the

Ext

erna

l Fun

ding

al

loca

ted

to t

hat

Part

y] O

R [

£ins

ert

figur

e].

219

7.7

Sub

ject

in

each

cas

e to

cla

use

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

ot

her:

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

; 7.

7.2

unde

r th

e in

dem

nity

in

clau

se 7

.4 w

ill n

ot e

xcee

d in

tot

al £

[ins

ert

figur

e];

and

[7

.7.3

for

all

and

any

brea

ches

of

the

Fund

ing

Con

ditio

ns w

ill n

ot e

xcee

d in

tot

al

[the

am

ount

of

the

Exte

rnal

Fun

ding

]].

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

that

, by

law

, ca

nnot

be

limite

d or

ex

clud

ed;

7.8.

4 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.

9 Th

e ex

pres

s un

dert

akin

gs a

nd w

arra

ntie

s gi

ven

by t

he P

artie

s in

thi

s Agr

eem

ent

are

in li

eu o

f al

l oth

er w

arra

ntie

s, c

ondi

tions

, te

rms,

und

erta

king

s an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on la

w,

cust

om,

trad

e us

age,

cou

rse

of d

ealin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

. 8.

FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

dela

yed

or p

reve

nted

by

circ

umst

ance

s be

yond

its

rea

sona

ble

cont

rol,

that

Par

ty w

ill n

ot b

e in

bre

ach

of t

his

Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce la

sts

for

mor

e th

an [

3] O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith

imm

edia

te e

ffec

t by

gi

ving

writt

en no

tice

to t

he Pa

rty

who

se pe

rfor

man

ce is

de

laye

d or

pre

vent

ed.

9.

TER

MIN

ATI

ON

9.

1 Ei

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith im

med

iate

eff

ect

by g

ivin

g no

tice

to t

he o

ther

Par

ty if

the

oth

er P

arty

:

9.

1.1

is i

n br

each

of

any

prov

isio

n of

thi

s Agr

eem

ent

and

(if

it is

cap

able

of

rem

edy)

the

bre

ach

has

not

been

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

af

ter

rece

ipt

of

writt

en

notic

e sp

ecify

ing

the

brea

ch

and

requ

irin

g its

re

med

y;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

app

oint

ed o

ver

the

who

le o

r an

y pa

rt o

f th

e ot

her

part

y's

asse

ts,

or i

f th

e ot

her

part

y m

akes

any

arr

ange

men

t w

ith it

s cr

edito

rs;

or

9.1.

3 co

mm

its a

ny b

reac

h of

Sch

edul

e 5

[or

Sch

edul

e 7]

.

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Pro

ject

. W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

w

ho or

igin

ally

ap

poin

ted

that

m

embe

r of

th

e Key

Pe

rson

nel

will

no

min

ate

a su

cces

sor.

Th

e ot

her

Part

y w

ill n

ot u

nrea

sona

bly

refu

se t

o ac

cept

the

nom

inat

ed

succ

esso

r, b

ut if

the

succ

esso

r is

not

acc

epta

ble

to t

he o

ther

Par

ty o

n re

ason

able

gr

ound

s, o

r if

the

appo

into

r ca

nnot

fin

d a

succ

esso

r, e

ither

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t by

giv

ing

the

othe

r no

t le

ss t

han

[3]

mon

ths'

not

ice.

9.

3 [T

he

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time

prov

ided

th

e Col

labo

rato

r co

mpl

ies

with

cl

ause

s 9.

6 an

d 9.

7,

by gi

ving

no

t le

ss

than

[3

] m

onth

s' n

otic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

(su

bjec

t to

cla

use

9.5)

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

, 9.

8 an

d 10

w

ill s

urvi

ve t

he c

ompl

etio

n of

the

Pro

ject

or

the

term

inat

ion

of t

his

Agr

eem

ent

for

any

reas

on a

nd w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct i

ndef

inite

ly o

r, i

n th

e ca

se o

f cl

ause

6, in

acc

orda

nce

with

cla

use

6.1.

9.

5 O

n th

e te

rmin

atio

n of

thi

s Agr

eem

ent

unde

r cl

ause

s 8,

9.1

, 9.

2 or

9.3

all

righ

ts

and

licen

ces

gran

ted

by o

ne P

arty

to

the

othe

r Pa

rty

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

will

aut

omat

ical

ly t

erm

inat

e ex

cept

:

9.5.

1 an

y righ

t to

Pub

lish

in a

ccor

danc

e w

ith c

laus

e 5;

and

9.

5.2

if th

e Col

labo

rato

r te

rmin

ates

thi

s Agr

eem

ent

in a

ccor

danc

e w

ith c

laus

e 9.

1,

the

licen

ce g

rant

ed t

o th

e Col

labo

rato

r un

der

clau

se 4

.6 w

ill s

urvi

ve t

he

term

inat

ion

of t

his

Agr

eem

ent

and

will

con

tinue

inde

finite

ly.

9.6

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

bef

ore

term

inat

ion

[and

not

cov

ered

by

the

Exte

rnal

Fun

ding

]. I

f te

rmin

atio

n oc

curs

pu

rsua

nt

to

clau

se 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

w

hich

th

e In

stitu

tion

ha

s in

curr

ed o

r ag

reed

to

incu

r an

d w

hich

the

Ins

titut

ion

is u

nabl

e to

can

cel.

9.7

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

by t

he I

nstit

utio

n un

der

clau

se 9

.1 o

r 9.

2 [o

r by

the

Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n is

in

tend

ed t

o co

ver

the

cost

s of

em

ploy

ing

any

Inst

itution

sta

ff i

nvol

ved

in t

he

Proj

ect,

the

Col

labo

rato

r w

ill c

ontin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

th

e ac

tual

direc

t em

ploy

men

t co

sts

of s

taff

who

wer

e ap

poin

ted

by t

he I

nstit

utio

n to

w

ork

on

the

Proj

ect

befo

re

the

serv

ice

of

the

notic

e,

prov

ided

th

at

the

Inst

itutio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

con

tinu

e un

til

the

effe

ctiv

e da

te o

f te

rmin

atio

n of

eac

h st

aff

cont

ract

or

the

date

on

whi

ch t

he P

roje

ct w

as t

o ha

ve e

nded

(w

hich

ever

is

the

earlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

inc

lude

a p

ropo

rtio

n of

any

red

unda

ncy

cost

s w

hich

ha

ve b

een

incu

rred

by

the

Inst

itutio

n as

a d

irec

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

th

at

prop

ortio

n to

be

ca

lcul

ated

by

di

vidi

ng

the

indi

vidu

al’s

in

volv

emen

t in

the

Pro

ject

by

the

dura

tion

of h

is p

erio

d of

em

ploy

men

t by

the

In

stitu

tion.

9.8

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hole

of

th

at co

ntribu

tion

has

not,

by

th

e en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

pur

pose

s fo

r w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GEN

ERA

L

220

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

writing

, m

ust

be d

eliv

ered

to

the

othe

r Pa

rty

by a

ny o

f th

e m

etho

ds s

et o

ut i

n th

e le

ft h

and

colu

mn

belo

w,

and

will

be

deem

ed t

o be

rec

eive

d on

the

cor

resp

ondi

ng d

ay s

et

out

in t

he r

ight

han

d co

lum

n:

M

eth

od

of

serv

ice

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

th

e da

y of

del

iver

y

By

pre-

paid

first

cla

ss p

ost

th

e se

cond

Bus

ines

s D

ay a

fter

pos

ting

By

reco

rded

del

iver

y po

st

th

e ne

xt B

usin

ess

Day

aft

er p

ostin

g

Th

e Pa

rtie

s' r

espe

ctiv

e re

pres

enta

tives

for

the

rec

eipt

of

notic

es a

re,

until c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

Fo

r th

e In

stit

uti

on

: Fo

r th

e C

olla

bo

rato

r:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it

, w

ithou

t fir

st o

btai

ning

the

writt

en c

onse

nt

of t

he o

ther

Par

ty[,

exc

ept

that

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a

who

le t

o a

Gro

up C

ompa

ny w

ithou

t th

e co

nsen

t of

the

Ins

titut

ion]

. N

eith

er P

arty

w

ill u

nrea

sona

bly

with

hold

or

dela

y its

con

sent

. 10

.3

Ille

gal

/u

nen

forc

eab

le p

rovi

sio

ns:

If

the

who

le o

r an

y pa

rt o

f an

y pr

ovis

ion

of

this

Agr

eem

ent

is v

oid

or u

nenf

orce

able

in a

ny j

uris

dict

ion,

the

oth

er p

rovi

sion

s of

th

is A

gree

men

t, a

nd t

he r

est

of t

he v

oid

or u

nenf

orce

able

pro

visi

on,

will

con

tinu

e in

for

ce in

that

jur

isdi

ctio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on in

any

othe

r ju

risd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

the

oth

er p

arty

, or

fai

ls t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

con

stitu

te a

wai

ver

of t

hat

righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a f

utur

e oc

casi

on.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em of

pr

inci

pal

and

agen

t. N

eith

er Pa

rty

has

any

auth

ority

to

m

ake

any

repr

esen

tatio

n or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

[and

the

Fun

ding

Con

dition

s] c

onst

itute

[s]

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to i

ts s

ubje

ct m

atte

r.

Each

Pa

rty

ackn

owle

dges

tha

t it

has

not

ente

red

into

thi

s Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t, a

gree

men

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch P

arty

wai

ves

any

clai

m f

or b

reac

h of

th

is

Agr

eem

ent,

or

an

y righ

t to

re

scin

d th

is

Agr

eem

ent

in

resp

ect

of

any

repr

esen

tatio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

liab

ility

whi

ch e

ither

Par

ty m

ay h

ave

to t

he o

ther

(o

r an

y righ

t w

hich

eith

er P

arty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in r

espe

ct o

f

any

frau

dule

nt m

isre

pres

enta

tion

or f

raud

ulen

t co

ncea

lmen

t be

fore

the

sig

ning

of

this

Agr

eem

ent.

10

.7

Form

alit

ies:

Ea

ch

Part

y w

ill

take

an

y ac

tion

and

exec

ute

any

docu

men

t re

ason

ably

req

uire

d by

the

oth

er P

arty

to

give

eff

ect

to a

ny o

f its

rig

hts

unde

r th

is

Agr

eem

ent,

or

to e

nabl

e th

eir

regi

stra

tion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit c

onfe

rred

by

this

Agr

eem

ent,

unl

ess

this

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

un

der

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Ag

reem

ent

and

any

disp

ute

or cl

aim

(i

nclu

ding

no

n-co

ntra

ctua

l dis

pute

s or

cla

ims)

arisi

ng o

ut o

f or

in c

onne

ctio

n w

ith it

or

its s

ubje

ct

mat

ter

or f

orm

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch

has

aris

en o

r m

ay a

rise

out

of,

or

in c

onne

ctio

n w

ith,

this

Agr

eem

ent,

exc

ept

that

a

Part

y m

ay

brin

g pr

ocee

ding

s to

pr

otec

t its

In

telle

ctua

l Pr

oper

ty

Rig

hts

or

Con

fiden

tial

Inf

orm

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny is

sue

conc

erni

ng

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne p

arty

has

not

ified

the

oth

er

of t

hat

issu

e, t

hey

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

In

stitu

tion,

and

to

[ins

ert

offic

er]

in t

he c

ase

of t

he C

olla

bora

tor

in a

n at

tem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pr

ocee

ding

s in

acc

orda

nce

with

cla

use

10.1

0 if

the

mat

ter

has

not

been

res

olve

d w

ithin

tha

t [1

4] d

ay p

erio

d, a

nd e

ither

Par

ty m

ay b

ring

pro

ceed

ings

to

prot

ect

its

Inte

llect

ual

Prop

erty

R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

iction

, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

. 10

.12

An

ti-B

rib

ery:

Eac

h pa

rty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

5.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch p

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

6.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

If

tha

t m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

orig

inal

of

the

exec

uted

cou

nter

part

as

soon

as

poss

ible

. [1

0.15

Exp

ort

C

on

tro

l:

each

Pa

rty

will

co

mpl

y w

ith

appl

icab

le

UK

expo

rt

cont

rol

legi

slat

ion

and

regu

lation

s. E

ach

Part

y w

ill c

ompl

y w

ith t

he s

peci

fic c

ondi

tions

of

any

US e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in

writing

and

whi

ch a

re a

pplic

able

to

it.]

221

SIG

NED

fo

r an

d on

be

half

of

the

Inst

itutio

n:

Nam

e Po

sitio

n Sig

natu

re

SIG

NED

fo

r an

d on

be

half

of

the

Col

labo

rato

r:

Nam

e Po

sitio

n Sig

natu

re

[R

ead

and

unde

rsto

od b

y th

e Pr

inci

pal

Rea

d an

d un

ders

tood

by

the

In

vest

igat

or:

Col

labo

rato

r’s

Sup

ervi

sor:

…

……

……

……

……

……

……

……

……

……

……

……

..

……

……

……

……

……

……

……

……

……

……

……

….

Sig

natu

re

Sig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e]

SC

HED

ULE

1

T

he

Fin

anci

al C

on

trib

uti

on

222

SC

HED

ULE

2

Th

e P

roje

ct P

lan

P

roje

ct T

itle

P

roje

ct O

bje

ctiv

es

Loca

tio

n

Bac

kg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Ta

sks

to b

e ca

rrie

d o

ut

by

each

Par

ty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cilit

ies

and

eq

uip

men

t ea

ch P

arty

is t

o p

rovi

de

Res

ult

s A

nti

cip

ated

K

ey P

erso

nn

el o

f ea

ch P

arty

A

lloca

tio

n o

f Ex

tern

al F

ind

ing

[E

qu

ipm

ent

ow

ner

ship

]

O

ther

Ter

ms

[S

CH

EDU

LE 3

The

Fun

din

g C

on

dit

ion

s]

223

SC

HED

ULE

4

G

ood

Dat

a M

anag

emen

t P

ract

ices

1.

Res

earc

h da

ta

mus

t be

ge

nera

ted

usin

g so

und

scie

ntifi

c te

chni

ques

an

d pr

oces

ses;

2.

Res

earc

h da

ta m

ust

be a

ccur

atel

y re

cord

ed i

n ac

cord

ance

with

goo

d sc

ient

ific

prac

tices

by

the

peop

le c

ondu

ctin

g th

e re

sear

ch;

3.

Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in a

ccor

danc

e w

ith g

ood

scie

ntifi

c pr

actic

es;

4.

Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.

Dat

a tr

ails

mus

t be

kep

t to

allo

w p

eopl

e to

dem

onst

rate

eas

ily a

nd t

o re

cons

truc

t ke

y de

cisi

ons

mad

e du

ring

the

con

duct

of th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.

Each

Par

ty h

as t

he r

ight

, on

not

les

s th

an [

30]

days

writt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

es

and

proc

edur

es.

SC

HED

ULE

5

A

nti

-Bri

ber

y

1.

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

1.

1 co

mpl

y w

ith a

ll la

ws,

sta

tute

s an

d re

gula

tions

whi

ch a

pply

to

it or

its

ac

tiviti

es an

d w

hich

re

late

to

an

ti-br

iber

y or

an

ti-co

rrup

tion

(o

r bo

th),

in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

the

Brib

ery

Act

201

0 if

it ha

d be

en c

arried

out

in t

he U

nite

d K

ingd

om;

1.

3 ha

ve

polic

ies

and

proc

edur

es

(inc

ludi

ng

adeq

uate

pr

oced

ures

as

de

term

ined

in

acco

rdan

ce w

ith s

ectio

n 7(

2) o

f th

e Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed u

nder

sec

tion

9 of

tha

t Act

) to

ens

ure

com

plia

nce

with

pa

ragr

aphs

1.1

and

1.2

abo

ve;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 1

.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er p

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.

7 ke

ep a

ccur

ate

and

up t

o da

te r

ecor

ds a

nd b

ooks

of

acco

unt

show

ing

all

paym

ents

mad

e by

it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

co

mpl

ianc

e w

ith t

his

Sch

edul

e.);

and

1.

8 on

req

uest

dur

ing

norm

al w

orki

ng h

ours

, al

low

the

oth

er P

arty

acc

ess

to

and

to c

opy

thos

e re

cord

s an

d ac

coun

ts a

nd t

o m

eet

with

its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.

Each

Pa

rty

will

en

sure

th

at an

y pe

rson

as

soci

ated

w

ith it

(as

dete

rmin

ed

in

acco

rdan

ce w

ith s

ectio

n 8

of t

he B

ribe

ry A

ct 2

010

and

para

grap

h 4

belo

w)

who

is

invo

lved

in

the

Proj

ect,

is

invo

lved

in

the

Proj

ect

only

on

the

basi

s of

a w

ritt

en

cont

ract

whi

ch im

pose

s on

tha

t pe

rson

ter

ms

equi

vale

nt t

o th

ose

impo

sed

on t

hat

Part

y in

thi

s Sch

edul

e.

3.

Each

Par

ty w

ill e

nsur

e th

at e

ach

pers

on r

efer

red

to in

par

agra

ph 2

abo

ve c

ompl

ies

with

ter

ms

equi

vale

nt t

o th

e te

rms

impo

sed

by t

his

Sch

edul

e, a

nd w

ill b

e lia

ble

to

the

othe

r Pa

rty

for

any

brea

ch b

y th

at p

erso

n of

any

of

thos

e te

rms.

4.

A p

erso

n as

soci

ated

with

a p

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

co

mpa

nies

and

sub

cont

ract

ors

and

thei

r re

spec

tive

empl

oyee

s.

224

SC

HED

ULE

6

D

ata

Pro

tect

ion

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l Dat

a on

beh

alf

of t

he o

ther

Pa

rty

(th

e D

ata

Co

ntr

olle

r),

the

prov

isio

ns o

f th

is S

ched

ule

will

app

ly.

1.

The

Part

y w

hich

car

ries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at

Pers

onal

D

ata

in

acco

rdan

ce

with

th

e D

ata

Prot

ectio

n Le

gisl

atio

n, a

ffor

ding

to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

w

ould

ha

ve

wer

e th

eir

Pers

onal

D

ata

bein

g Pr

oces

sed

by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly i

n ac

cord

ance

with

the

Dat

a Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’ r

eque

sts

for

acce

ss t

o, in

form

atio

n ab

out,

and

the

rec

tific

atio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

en

quiry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al D

ata

bein

g Pr

oces

sed

for

the

Dat

a Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

th

at

requ

est

or

enqu

iry

as

the

Dat

a Con

trol

ler

may

re

ason

ably

re

ques

t,

and

not

resp

ond

to

any

such

re

ques

t or

en

quiry

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph

1 ab

ove,

an

d w

ill

give

th

e D

ata

Con

trol

ler

any

assi

stan

ce

whi

ch

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(a

nd n

ot d

efin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in

the

Dat

a Pr

otec

tion

Legi

slat

ion.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar

to

refle

ct

any

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

th

e D

ata

Con

trol

ler,

not

with

stan

ding

the

ter

min

atio

n of

thi

s Agr

eem

ent

or t

he

com

plet

ion

of t

he P

roje

ct.

6.

The

Dat

a Pr

oces

sor

will

in

dem

nify

th

e D

ata

Con

trol

ler

and

keep

th

e D

ata

Con

trol

ler

fully

and

eff

ectiv

ely

inde

mni

fied

on d

eman

d ag

ains

t al

l co

sts,

cla

ims,

de

man

ds,

expe

nses

and

lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

the

Dat

a Pr

oces

sor

of t

his

Sch

edul

e.

OR

W

here

bot

h Pa

rtie

s de

term

ine

the

purp

ose

of t

he P

roce

ssin

g in

res

pect

of

any

Pers

onal

D

ata

whi

ch is

Pro

cess

ed in

the

cou

rse

of o

r fo

r th

e pu

rpos

e of

the

Pro

ject

, th

e pr

ovis

ions

of

thi

s Sch

edul

e w

ill a

pply

.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch it

Pro

cess

es

in c

onne

ctio

n w

ith t

he P

roje

ct.

It w

ill:

1.1

Proc

ess

that

Per

sona

l Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.

4 gi

ve th

e ot

her

Part

y su

ch

info

rmat

ion

and

assi

stan

ce as

it

reas

onab

ly

requ

ires

in

orde

r to

ena

ble

the

othe

r Pa

rty

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

par

ticul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o,

info

rmat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er p

arty

suc

h as

sist

ance

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

it m

ay r

easo

nabl

y re

ques

t;

1.

6 no

tify

the

othe

r Pa

rty

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

225

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

par

ty’s

writt

en c

onse

nt.

2.

Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l re

ason

able

tim

es t

o in

spec

t an

d re

view

th

e st

eps

bein

g ta

ken

by i

t to

com

ply

with

par

agra

ph 1

abo

ve,

and

will

giv

e th

e ot

her

Part

y an

y as

sist

ance

whi

ch i

t re

ason

ably

req

uire

s w

ith t

hat

insp

ectio

n an

d re

view

. 3.

All

expr

essi

ons

in p

arag

raph

1, 2

, 4,

5 o

r 6

begi

nnin

g w

ith a

cap

ital l

ette

r (a

nd n

ot

defin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in t

he D

ata

Prot

ectio

n Le

gisl

atio

n.

4.

Th

e pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

th

e ot

her

Part

y,

notw

ithst

andi

ng

the

term

inat

ion

of

this

Agr

eem

ent

or

the

com

plet

ion

of t

he P

roje

ct.

[SC

HE

DU

LE 7

]

Par

t 1

- H

um

an R

igh

ts

1.

Unl

ess

othe

rwis

e re

quired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

pe

rfor

man

ce o

f th

is A

gree

men

t:

1.

1 no

t em

ploy

, en

gage

or

use

any

child

lab

our

in c

ircu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.2

not

use

forc

ed

labo

ur

in

any

form

(p

riso

n,

inde

ntur

ed,

bond

ed

or

othe

rwis

e);

1.

3 no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.4

prov

ide

a sa

fe a

nd h

ealth

y w

orkp

lace

, pr

esen

ting

no im

med

iate

haz

ards

to

its e

mpl

oyee

s, a

nd i

f an

y ac

com

mod

atio

n is

pro

vide

d by

tha

t Pa

rty

to i

ts

empl

oyee

s, t

hat

acc

omm

odat

ion

will

be

safe

for

hab

itation

; 1.

5 pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re to

its

em

ploy

ees

in t

he e

vent

of ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

; 1.

6 no

t di

scrim

inat

e ag

ains

t an

y em

ploy

ee on

an

y gr

ound

(i

nclu

ding

ra

ce,

relig

ion,

dis

abili

ty o

r ge

nder

);

1.

7 no

t en

gage

in o

r su

ppor

t th

e us

e of

cor

pora

l pun

ishm

ent,

men

tal,

phys

ical

, se

xual

or

verb

al a

buse

; 1.

8 no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.9

pay

each

em

ploy

ee a

t le

ast

the

min

imum

wag

e, o

r a

fair r

epre

sent

atio

n of

th

e pr

evai

ling

indu

stry

wag

e, (

whi

chev

er i

s th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.

10

com

ply

with

the

law

s on

wor

king

hou

rs a

nd e

mpl

oym

ent

righ

ts i

n th

e co

untr

ies

in w

hich

it o

pera

tes;

and

1.

11

resp

ect

its e

mpl

oyee

s’ r

ight

to

join

and

for

m in

depe

nden

t tr

ade

unio

ns a

nd

free

dom

of as

soci

atio

n.

2.

Each

Par

ty a

gree

s th

at i

t is

res

pons

ible

for

con

trol

ling

its o

wn

supp

ly c

hain

and

th

at it

will

enc

oura

ge c

ompl

ianc

e w

ith e

thic

al s

tand

ards

and

hum

an r

ight

s by

any

su

bseq

uent

sup

plie

r of

goo

ds a

nd s

ervi

ces

that

are

use

d by

it w

hen

perf

orm

ing

its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.

Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal

with

any

bre

ache

s of

th

ose

polic

ies.

Par

t 2

– A

nti

-Sla

very

Ea

ch P

arty

will

, in

con

nect

ion

with

the

Pro

ject

:

1.

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es a

nd

whi

ch r

elat

e to

ant

i-sl

aver

y an

d hu

man

tra

ffic

king

, in

clud

ing

the

Mod

ern

Sla

very

Act

201

5;

226

2.

no

t do

any

thin

g w

hich

wou

ld c

onst

itute

an

offe

nce

unde

r se

ctio

n 1,

2 o

r 4

Mod

ern

Sla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

3.

ha

ve a

nd m

aint

ain

its o

wn

polic

ies

and

proc

edur

es t

o en

sure

com

plia

nce

with

pa

ragr

aphs

1 a

nd 2

abo

ve;

4.

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 3

abo

ve;

5.

in

clud

e in

its

con

trac

ts w

ith its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

d hu

man

tra

ffic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of t

his

Sch

edul

e;

6.

pr

ompt

ly r

epor

t to

the

oth

er P

arty

any

bre

ach

of t

his

sect

ion

of t

his

Sch

edul

e of

w

hich

it b

ecom

es a

war

e;

7.

pr

ovid

e su

ch e

vide

nce

of c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e as

the

ot

her

Part

y m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

8.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.);

and

9.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

the

rec

ords

ref

erre

d to

in p

arag

raph

8 a

bove

and

to

mee

t w

ith its

per

sonn

el

to v

erify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.

[Par

t 3

– t

he

Co

llab

ora

tor’

s P

olic

ies

and

Pro

ced

ure

s Ea

ch P

arty

will

com

ply

with

the

fol

low

ing:

[I

nser

t de

tails

]]

Dat

ed _

____

____

____

____

____

____

201[

]

(1)

[IN

SER

T N

AM

E]

(2

) [I

NS

ERT

NA

ME]

M

OD

EL

CO

LLA

BO

RA

TIO

N A

GR

EEM

ENT

2

S

cen

ario

- T

he

Inst

itu

tio

n o

wn

s th

e R

esu

lts

and

gra

nts

th

e C

olla

bor

ator

a n

on

-exc

lusi

ve

licen

ce t

o u

se t

he

Res

ult

s.

The

Col

lab

orat

or

has

th

e ri

gh

t to

cal

l on

th

e In

stit

uti

on t

o n

egot

iate

an

exc

lusi

ve l

icen

ce.

227

THIS

AG

REE

MEN

T d

ated

[…

……

……

……

……

……

……

……

…..

] 2

01[]

is m

ade

BET

WEE

N:

(1)

[IN

SER

T

NA

ME]

, w

hose

ad

min

istr

ativ

e of

fices

ar

e at

[i

nser

t ad

dres

s]

(th

e In

stit

uti

on

); a

nd

(2)

[IN

SER

T N

AM

E] [

LIM

ITED

] O

R [

PLC

], [

[a c

ompa

ny r

egis

tere

d in

[En

glan

d]

unde

r nu

mbe

r [i

nser

t nu

mbe

r],

who

se r

egis

tere

d of

fice

is a

t [i

nser

t ad

dres

s of

re

gist

ered

of

fice]

] O

R [[

inse

rt st

atus

of

th

e Col

labo

rato

r, e.

g. N

HS Tr

ust]

of

[i

nser

t ad

dres

s of

princ

ipal

offic

e]]

(th

e C

olla

bo

rato

r)

BA

CK

GR

OU

ND

The

part

ies

to t

his

Agr

eem

ent

wis

h to

col

labo

rate

on

a re

sear

ch p

roje

ct e

ntitl

ed "

[ins

ert

nam

e of

pro

ject

]".

[The

Tec

hnol

ogy

Str

ateg

y Boa

rd h

as a

nnou

nced

its

int

entio

n to

mak

e a

gran

t in

res

pect

of

tha

t pr

ojec

t, s

ubje

ct t

o th

e te

rms

of t

he o

ffer

let

ter

refe

rred

to

belo

w,

and

subj

ect

to

the

part

ies

ente

ring

into

an

agre

emen

t go

vern

ing

thei

r co

llabo

ratio

n.]

This

Agr

eem

ent

gove

rns

the

part

ies’

col

labo

ratio

n in

rel

atio

n to

tha

t pr

ojec

t.

2.

DE

FIN

ITIO

NS

AN

D I

NTE

RP

RE

TATI

ON

1.1

In t

his

Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

Aca

dem

ic P

ub

lica

tio

n:

the

publ

icat

ion

of a

n ab

stra

ct,

artic

le o

r pa

per

in

a jo

urna

l or

an

el

ectr

onic

re

posi

tory

, or

its

pr

esen

tatio

n at

a c

onfe

renc

e or

sem

inar

; an

d in

cl

ause

s 5

and

6 to

Pu

blis

h a

nd P

ub

lica

tio

n a

re

to b

e co

nstr

ued

as

mea

ning

suc

h pu

blic

atio

n;

Aca

dem

ic

and

R

esea

rch

P

urp

ose

s:

rese

arch

[(

exce

pt

[ins

ert

any

exce

ptio

ns])

, te

achi

ng[,

and

] ed

ucat

ion[

and

Clin

ical

Pat

ient

Car

e];

this

Ag

reem

ent:

th

is

docu

men

t,

incl

udin

g its

Sch

edul

es,

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

Bac

kg

rou

nd

: in

form

atio

n,

data

, te

chni

ques

, Kno

w-h

ow,

inve

ntio

ns,

disc

over

ies,

sof

twar

e an

d m

ater

ials

(r

egar

dles

s of

the

for

m o

r m

ediu

m in

whi

ch t

hey

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

this

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mon

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

the

Co

llab

ora

tor'

s S

up

ervi

sor:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Co

mm

ence

men

t D

ate:

[i

nser

t th

e da

te

on

whi

ch

the

Proj

ect

is

to

star

t/st

arte

d];

Co

nfi

den

tial

In

form

atio

n:

a Pa

rty’

s co

nfid

ential

in

form

atio

n is

: an

y Bac

kgro

und

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in t

he P

roje

ct [

and

iden

tifie

d as

co

nfid

ential

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in

the

Proj

ect

or

unde

r th

is

Agr

eem

ent

[and

ide

ntifi

ed a

s co

nfid

ential

bef

ore

or

at

the

time

of

disc

losu

re

or w

hich

, by

its

na

ture

or

fr

om

the

circ

umst

ance

s of

its

di

sclo

sure

, sh

ould

rea

sona

bly

be p

resu

med

to

be

conf

iden

tial

];

Co

ntr

ol:

th

e ab

ility

to

dire

ct t

he a

ffai

rs o

f an

othe

r pe

rson

, w

heth

er b

y vi

rtue

of

the

owne

rshi

p of

sha

res,

by

cont

ract

, or

in a

ny o

ther

way

;

the

Dat

a P

rote

ctio

n

Leg

isla

tio

n

whi

le t

hey

rem

ain

in f

orce

, th

e D

ata

Prot

ectio

n Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion,

an

d an

y ot

her

law

s an

d re

gula

tions

re

lating

to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

ap

ply

to a

Par

ty a

nd,

if ap

plic

able

, th

e gu

idan

ce

and

code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

viso

ry a

utho

rity

;

[th

e E

xter

nal

Fu

nd

ing

: an

y fu

ndin

g or

as

sist

ance

pr

ovid

ed

for

the

Proj

ect

or t

o a

Part

y fo

r us

e in

the

Pro

ject

by

any

third

pa

rty,

in

clud

ing

any

stat

e or

pu

blic

bo

dy;]

[th

e Fi

eld

: [i

nser

t bu

sine

ss a

rea]

;]

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

[th

e Fu

nd

ing

Bo

dy:

[i

nser

t de

tails

of

the

body

whi

ch i

s to

pro

vide

th

e Ex

tern

al F

undi

ng;]

[th

e Fu

nd

ing

Co

nd

itio

ns:

th

e te

rms

on w

hich

the

Fun

ding

Bod

y pr

ovid

es

any

Exte

rnal

Fu

ndin

g,

a co

py

of

whi

ch

is

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;]

the

Go

od

Dat

a M

anag

emen

t P

ract

ices

:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

228

a G

r ou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pe

rson

whi

ch a

lso

Con

trol

s th

e Col

labo

rato

r;

Inte

llect

ual

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uation

s,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e Col

labo

rato

r’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

Kn

ow

-ho

w:

unpa

tent

ed

tech

nica

l in

form

atio

n (i

nclu

ding

in

form

atio

n re

latin

g to

in

vent

ions

, di

scov

erie

s,

conc

epts

, m

etho

dolo

gies

, m

odel

s,

rese

arch

, de

velo

pmen

t an

d te

stin

g pr

oced

ures

, th

e re

sults

of

exp

erim

ents

, te

sts

and

tria

ls,

man

ufac

turing

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l da

ta,

anal

yses

, re

port

s an

d su

bmis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

: th

e In

stitu

tion

or

the

Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

the

Pro

ject

Per

iod

: th

e pe

riod

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of th

is

Agr

eem

ent

[and

un

der

any

Fund

ing

Con

dition

s];

the

Res

ult

s:

all

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

the

Terr

ito

ry:

[wor

ldw

ide]

OR

[in

sert

geo

grap

hica

l are

a];

a V

aria

tio

n A

gre

emen

t:

a w

ritt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.2

The

head

ings

in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct

its c

onst

ruct

ion

or in

terp

reta

tion.

1.3

Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

.

1.4

A r

efer

ence

in t

his

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as

amen

ded,

ex

tend

ed

or

re-e

nact

ed

from

tim

e to

tim

e an

d in

clud

es

all

subo

rdin

ate

legi

slat

ion

mad

e fr

om t

ime

to t

ime

unde

r th

at s

tatu

te o

r st

atut

ory

prov

isio

n.

1.5

A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l.

1.6

A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce

to t

hat

othe

r ag

reem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss in

br

each

of

this

Agr

eem

ent)

fro

m t

ime

to t

ime.

1.7

Ref

eren

ces

in t

his

Agr

eem

ent

to c

laus

es a

nd S

ched

ules

are

to

the

clau

ses

and

Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing

, in

clu

de

or

in

par

ticu

lar,

or

any

sim

ilar

expr

essi

on,

are

to b

e co

nstr

ued

as i

llust

rative

and

do

not

limit

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

.

1.9

The

acts

and

om

issi

ons

of i

ts G

roup

Com

pani

es a

re d

eem

ed t

o be

with

in t

he

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol a

nd t

he a

cts

and

omis

sion

s of

any

con

trac

tor

are

deem

ed

to b

e w

ithin

the

con

trol

of th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

.

[1.1

0 W

ords

and

phr

ases

def

ined

in

the

Fund

ing

Con

ditio

ns a

nd n

ot d

efin

ed i

n th

is

Agr

eem

ent

have

the

mea

ning

giv

en t

o th

em in

the

Fun

ding

Con

ditio

ns w

hen

used

in

thi

s Agr

eem

ent.

1.11

If

the

re i

s an

y co

nflic

t be

twee

n th

e te

rms

of t

his

Agr

eem

ent

and

the

Fund

ing

Con

ditio

ns,

this

Agr

eem

ent

will

pre

vail

in r

elat

ion

to t

he a

rran

gem

ents

as

betw

een

the

Part

ies,

but

it

will

not

affec

t th

e Pa

rtie

s' r

espe

ctiv

e ob

ligat

ions

to

the

Fund

ing

Bod

y un

der

the

Fund

ing

Con

ditio

ns.]

2.TH

E P

RO

JEC

T

229

2.1

The

Proj

ect

[will

beg

in o

n] O

R [

bega

n on

] th

e Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il [t

he e

arlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he P

roje

ct o

r an

y la

ter

date

agr

eed

in w

riting

bet

wee

n th

e Pa

rtie

s,

or u

ntil

this

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If

this

Agr

eem

ent

is

ente

red

into

af

ter

the

Com

men

cem

ent

Dat

e,

it w

ill

appl

y re

tros

pect

ivel

y to

w

ork

carr

ied

out

in re

lation

to

th

e Pr

ojec

t on

or

afte

r th

e Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in

the

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

are

des

igna

ted

as it

s re

spon

sibi

lity

in t

he

Proj

ect

Plan

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

[t

he P

rinc

ipal

Inv

estig

ator

] O

R [

the

Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

the

Loc

atio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill o

btai

n an

d m

aint

ain

all

regu

lato

ry

and

ethi

cal l

icen

ces,

con

sent

s an

d ap

prov

als

nece

ssar

y to

allo

w it

to

carr

y ou

t th

e ta

sks

allo

tted

to

it in

the

Pro

ject

Pla

n an

d w

ill c

arry

out

the

Pro

ject

in

acco

rdan

ce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

und

er o

r pu

rsua

nt t

o th

is

Agr

eem

ent.

2.4

Each

of

the

Part

ies

will

ens

ure

that

its

empl

oyee

s an

d st

uden

ts (

if an

y) in

volv

ed in

th

e Pr

ojec

t:

obse

rve

the

cond

ition

s at

tach

ing

to

any

regu

lato

ry

and

ethi

cal

licen

ces,

co

nsen

ts an

d ap

prov

als;

ke

ep co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct

and

of a

ll Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

co

unte

rsig

ned

by a

n em

ploy

ee o

f th

at P

arty

who

is n

ot a

mem

ber

of t

he r

esea

rch

team

bu

t w

ho

unde

rsta

nds

the

wor

k;

and

com

ply

with

th

e G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

staf

f an

d st

uden

ts (

if an

y) (

incl

udin

g in

the

ca

se o

f th

e Col

labo

rato

r, a

ny s

taff

of

any

Gro

up C

ompa

ny)

invo

lved

in t

he P

roje

ct,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Pa

rty’

s he

alth

an

d sa

fety

an

d se

curity

po

licie

s an

d pr

oced

ures

an

d,

whe

n ac

cess

ing

or u

sing

the

oth

er P

arty

’s i

nfor

mat

ion

syst

ems,

com

ply

with

the

oth

er

Part

y’s

info

rmat

ion

secu

rity

pol

icie

s an

d pr

oced

ures

.

2.6

[[Th

e In

stitu

tion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

ompl

y w

ith S

ched

ule

7. [

At

any

time

during

the

Pro

ject

Per

iod,

the

Col

labo

rato

r m

ay r

equi

re c

hang

es t

o Pa

rt 3

of

Sch

edul

e 7,

w

here

suc

h ch

ange

s ar

e ne

cess

ary

to e

nsur

e th

at th

e Pr

ojec

t is

un

dert

aken

in

co

mpl

ianc

e w

ith

the

Col

labo

rato

r’s

appl

icab

le

polic

ies

and

proc

edur

es.]

]

2.7

Alth

ough

[th

e In

stitu

tion

] O

R [

each

of

the

Part

ies]

will

use

rea

sona

ble

ende

avou

rs

to c

arry

out

the

Pro

ject

in

acco

rdan

ce w

ith t

he P

roje

ct P

lan,

[th

e In

stitu

tion

does

no

t un

dert

ake]

OR

[ne

ither

Par

ty u

nder

take

s] t

hat

any

rese

arch

will

lea

d to

any

pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

O

R [E

ach

of t

he P

artie

s] w

ill p

rovi

de [

the

Col

labo

rato

r] O

R

[oth

er Pa

rty]

w

ith [m

onth

ly][

annu

al]

OR

[q

uart

erly

] re

port

s su

mm

aris

ing

the

prog

ress

of

the

Proj

ect

and

a co

py o

f al

l of

the

Res

ults

.

2.9

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill n

otify

the

[Col

labo

rato

r] O

R [

othe

r]

prom

ptly

aft

er i

dent

ifyin

g an

y Res

ult

whi

ch [

the

Inst

itutio

n] O

R [

it] b

elie

ves

is

pate

ntab

le,

and

will

sup

ply

the

[Col

labo

rato

r] O

R [

othe

r] w

ith c

opie

s of

tha

t Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its

cons

titut

ion,

an

d ha

s ta

ken

all

nece

ssar

y ac

tions

an

d ob

tain

ed

all

auth

oris

atio

ns,

licen

ces,

con

sent

s an

d ap

prov

als,

to

allo

w i

t to

ent

er i

nto

and

perf

orm

thi

s Agr

eem

ent[

and

it is

not

in b

reac

h of

the

Fun

ding

Con

dition

s].

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal

or c

hem

ical

] m

ater

ial

to t

he o

ther

Pa

rty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

se

para

te

Mat

eria

ls

Tran

sfer

Agr

eem

ent

ente

red

into

be

twee

n th

e Pa

rtie

s in

re

latio

n to

tha

t m

ater

ial.

[2.1

2 If

the

Fun

ding

Con

ditio

ns h

ave

not

alre

ady

been

acc

epte

d by

the

Par

ties,

thi

s Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e Fu

ndin

g Con

ditio

ns

with

in [

30]

days

aft

er t

he d

ate

of t

he F

undi

ng C

ondi

tions

or

offe

r to

pro

vide

Ex

tern

al F

undi

ng.]

[2.1

3 Ea

ch o

f th

e Pa

rtie

s w

ill:

2.13

.1 if

it

is a

par

ty t

o th

e Fu

ndin

g Con

dition

s, c

ompl

y w

ith its

obl

igat

ions

und

er

the

Fund

ing

Con

ditio

ns;

2.13

.2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he F

undi

ng C

ondi

tions

; an

d

2.13

.3 n

otify

the

oth

er P

arty

in

acco

rdan

ce w

ith c

laus

e 10

.1 i

mm

edia

tely

if

it re

ceiv

es a

ny n

otic

e or

req

uest

fro

m t

he F

undi

ng B

ody.

]

2.15

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

[an

d th

e Fu

ndin

g Bod

y]

and

unle

ss t

he a

dditi

onal

per

son,

the

Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.FI

NA

NC

IAL

CO

NTR

IBU

TIO

N [

AN

D E

XT

ERN

AL

FUN

DIN

G]

3.1

[The

allo

catio

n of

the

Ext

erna

l Fun

ding

will

be

as s

et o

ut in

the

Pro

ject

Pla

n un

less

th

e Pa

rtie

s un

anim

ousl

y ag

ree

othe

rwis

e in

w

ritin

g.]

Each

Pa

rty

will

ke

ep

com

plet

e an

d ac

cura

te

acco

unts

of

its

ex

pend

iture

on

th

e Pr

ojec

t.

The

Col

labo

rato

r w

ill p

ay t

he F

inan

cial

Con

trib

utio

n to

the

Ins

titut

ion

in a

ccor

danc

e w

ith S

ched

ule

1 w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt b

y th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

be

ing

clai

med

ag

ains

t co

sts

and

expe

nses

in

curr

ed

by

the

Inst

itutio

n, e

ach

invo

ice

mus

t be

acc

ompa

nied

by

a st

atem

ent

cert

ified

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.2

Unl

ess

any

VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is A

gree

men

t ar

e ex

clus

ive

of V

AT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fr

om t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to an

y ot

her

righ

t or

re

med

y av

aila

ble

to th

e In

stitu

tion,

th

e In

stitu

tion

may

ch

arge

in

tere

st

(bot

h be

fore

an

d af

ter

any

judg

emen

t) o

n th

e am

ount

out

stan

ding

, on

a d

aily

bas

is [

at t

he r

ate

of [

four

] pe

r ce

nt p

er a

nnum

abo

ve t

he L

ondo

n 3

mon

th I

nter

bank

Off

er R

ate

from

tim

e to

tim

e in

for

ce]

OR

[in

acc

orda

nce

with

the

Lat

e Pa

ymen

ts o

f Com

mer

cial

Deb

ts

(Int

eres

t)

Act

19

98

as am

ende

d by

th

e La

te

Paym

ent

of Com

mer

cial

D

ebts

Reg

ulat

ions

201

3].

Tha

t in

tere

st w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or las

t da

te f

or

paym

ent

to

the

actu

al

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e,

and

will

be

230

com

poun

ded

quar

terly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itutio

n on

dem

and.

3.4

[Exc

ept

as s

et o

ut i

n th

e Pr

ojec

t Pl

an,]

the

Ins

titut

ion

will

ow

n al

l eq

uipm

ent

purc

hase

d or

con

stru

cted

by

it, o

r fo

r it,

usi

ng t

he F

inan

cial

Con

trib

utio

n [o

r an

y Ex

tern

al F

undi

ng].

4.U

SE

AN

D E

XP

LOIT

ATI

ON

OF

INTE

LLEC

TUA

L P

RO

PER

TY R

IGH

TS

4.1

This

Agr

eem

ent

does

not

affec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

da

ta,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. T

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

th

em t

o th

e Pr

ojec

t (o

r its

lic

enso

rs).

N

o lic

ence

to

use

any

Inte

llect

ual Pr

oper

ty

Rig

hts

is g

rant

ed o

r im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.2

Each

Par

ty g

rant

s th

e ot

her

a ro

yalty

-fre

e, f

ully

pai

d-up

, no

n-ex

clus

ive

licen

ce t

o us

e its

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

N

eith

er P

arty

may

gr

ant

any

sub-

licen

ce t

o us

e th

e ot

her's

Bac

kgro

und

exce

pt t

hat

the

Col

labo

rato

r m

ay a

llow

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he

Col

labo

rato

r or

any

Gro

up C

ompa

ny,

to u

se t

he I

nstit

utio

n's

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

4.3

The

Inst

itutio

n w

ill o

wn

the

Inte

llect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts a

nd m

ay,

subj

e ct

to t

he I

nstit

utio

n’s

oblig

atio

ns i

n cl

ause

4.7

.4,

take

suc

h st

eps

as i

t m

ay

deci

de f

rom

tim

e to

tim

e, a

t its

exp

ense

, to

reg

iste

r an

d m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

tak

ing

any

actio

n in

res

pect

of

any

alle

ged

or a

ctua

l inf

ring

emen

t of

any

Int

elle

ctua

l Pro

pert

y Rig

hts

in t

he R

esul

ts.

4.4

The

Col

labo

rato

r w

ill e

nsur

e th

at its

em

ploy

ees

and

thos

e of

any

Gro

up C

ompa

ny

invo

lved

in t

he c

reat

ion

of t

he R

esul

ts g

ive

the

Inst

itutio

n su

ch a

ssis

tanc

e (e

xcep

t fin

anci

al a

ssis

tanc

e) a

s th

e In

stitu

tion

may

rea

sona

bly

requ

est

in c

onne

ctio

n w

ith

the

regi

stra

tion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

any

act

ion

in r

espe

ct o

f an

y al

lege

d or

act

ual

infr

inge

men

t of

any

In

telle

ctua

l Pro

pert

y Rig

hts

in a

ny o

f th

e Res

ults

.

4.5

Whe

re a

ny t

hird

par

ty s

uch

as a

stu

dent

or

cont

ract

or is

or h

as b

een

invo

lved

in

the

Proj

ect,

the

Par

ty e

ngag

ing

that

thi

rd p

arty

will

ens

ure

that

tha

t th

ird

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all r

ight

s w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts in

ord

er t

o be

abl

e to

giv

e ef

fect

to

the

prov

isio

ns o

f th

is c

laus

e 4.

4.6

The

Inst

itutio

n gr

ants

to

the

Col

labo

rato

r a

non-

excl

usiv

e, i

ndef

inite

, [f

ully

pai

d-up

, ro

yalty

fre

e] lic

ence

(w

ith t

he r

ight

to

sub-

licen

se t

o an

y G

roup

Com

pany

and

to

an

y pe

rson

w

orki

ng

for,

or

on

be

half

of,

the

Col

labo

rato

r or

an

y G

roup

Com

pany

, bu

t on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

hat

wor

k, a

nd o

ther

wis

e w

ithou

t th

e righ

t to

sub

-lic

ense

) to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

for

any

pur

pose

[w

ithin

the

Fie

ld]

in t

he T

errito

ry.

4.7.

1 Th

e In

stitu

tion

and

the

Col

labo

rato

r w

ill,

if th

e Col

labo

rato

r gi

ves

the

Inst

itutio

n w

ritt

en n

otic

e (a

n O

pti

on

No

tice

) at

any

tim

e du

ring

the

Pro

ject

Per

iod

plus

a

furt

her

[6]

OR

[12

] m

onth

s (t

oget

her

calle

d th

e O

pti

on

Per

iod),

neg

otia

te t

he

term

s on

whi

ch t

he I

nstit

utio

n w

ill g

rant

the

Col

labo

rato

r an

exc

lusi

ve l

icen

ce

(with

the

rig

ht t

o su

b-lic

ense

) to

use

cer

tain

of

the

Res

ults

(th

e Li

cen

ce).

[Th

e Li

cenc

e m

ay b

e gr

ante

d by

the

Ins

titut

ion’

s su

bsid

iary

com

pany

, [X

YZ]

Lim

ited.

]

4.7.

2 Fo

llow

ing

the

Inst

itutio

n’s

rece

ipt

of a

n O

ptio

n N

otic

e, t

he P

artie

s w

ill n

egot

iate

in

good

fai

th,

for

a pe

riod

of

up t

o [9

0 da

ys]

OR

[6

mon

ths]

aft

er t

he d

ate

of r

ecei

pt

of t

he O

ptio

n N

otic

e (t

he

Neg

oti

atio

n P

erio

d)

an a

gree

men

t fo

r th

e gr

ant

of t

he

Lice

nce.

[The

Li

cenc

e w

ill

incl

ude,

w

ithou

t lim

itatio

n,

term

s ba

sed

on

the

prov

isio

ns o

f Sch

edul

e 8.

] If

the

Par

ties

are

unab

le t

o ag

ree

the

term

s of

the

Li

cenc

e w

ithin

the

Neg

otia

tion

Period

, th

e Col

labo

rato

r’s

right

s un

der

clau

ses

4.7.

1,

4.7.

3 an

d 4.

7.4

(but

not

the

lice

nce

in c

laus

e 4.

6) w

ill la

pse.

4.7.

3 Th

e In

stitu

tion

will

no

t,

during

th

e O

ptio

n Pe

riod

or

the

Neg

otia

tion

Period

, ne

gotia

te w

ith a

ny t

hird

par

ty w

ith a

vie

w t

o gr

anting

a li

cenc

e to

use

the

Res

ults

or

ass

igni

ng t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts n

or g

rant

a l

icen

ce t

o us

e th

e Res

ults

or

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts t

o an

y th

ird

part

y.

D

urin

g th

e [3

][6]

O

R

[12]

m

onth

s fo

llow

ing

the

end

of

the

Neg

otia

tion

Period

, th

e In

stitu

tion

will

not

gra

nt a

lic

ence

of

any

Res

ult

or a

ssig

n th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

any

Res

ult

to a

ny t

hird

par

ty o

n an

y te

rms

mor

e fa

vour

able

tha

n th

ose

offe

red

to t

he C

olla

bora

tor

purs

uant

to

this

cla

use

4.7.

4.7.

4 U

ntil

the

end

of t

he O

ptio

n Pe

riod

and

, if

the

Col

labo

rato

r gi

ves

the

Opt

ion

Not

ice

until th

e ea

rlie

r of

the

end

of

Neg

otia

tion

Period

and

the

gra

nt o

f th

e Li

cenc

e, t

he

Inst

itutio

n w

ill

cons

ult

with

th

e Col

labo

rato

r ab

out

mak

ing

pate

nt

or

othe

r ap

plic

atio

ns in

res

pect

of

the

Res

ults

. I

f, d

urin

g th

e N

egot

iation

Per

iod,

the

Col

labo

rato

r w

ishe

s th

e In

stitu

tion

to a

pply

for

any

pat

ent

or o

ther

pro

tect

ion

in

rela

tion

to a

ny o

f th

e Res

ults

, th

e Col

labo

rato

r w

ill r

eim

burs

e to

the

Ins

titut

ion

the

reas

onab

le c

osts

and

exp

ense

s in

curr

ed b

y th

e In

stitu

tion

sin

ce t

he d

ate

of t

his

Agr

eem

ent

in

rela

tion

to

the

filin

g an

d pr

osec

utio

n of

th

at

pate

nt

or

othe

r ap

plic

atio

n,

incl

udin

g pa

tent

ag

ents

' fe

es,

as a

resu

lt of

an

y re

ques

t by

th

e Col

labo

rato

r to

app

ly f

or,

or t

o m

aint

ain,

any

pat

ent

or o

ther

pro

tect

ion

of a

ny

Res

ult.

If

the

Inst

itutio

n la

ter

licen

ses

or a

ssig

ns t

o a

third

part

y th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

for

whi

ch t

he C

olla

bora

tor

has

paid

any

suc

h co

sts

and

expe

nses

, th

e In

stitu

tion

will

re-

imbu

rse

thos

e co

sts

and

expe

nses

to

the

Col

labo

rato

r.

4.8

Des

pite

the

pro

visi

ons

of c

laus

e 4.

7 or

the

gra

nt o

f an

y lic

ence

pur

suan

t to

cla

use

4.7,

the

Ins

titut

ion

and

each

em

ploy

ee a

nd s

tude

nt o

f th

e In

stitu

tion

will

hav

e th

e irre

voca

ble,

ro

yalty

-fre

e righ

t to

us

e th

e Res

ults

fo

r Aca

dem

ic an

d Res

earc

h Pu

rpos

es,

incl

udin

g [(

afte

r th

e Col

labo

rato

r’s

righ

ts u

nder

cla

use

4.7

have

laps

ed,

but

not

in

any

othe

r ca

se)]

re

sear

ch

proj

ects

w

hich

ar

e ca

rrie

d ou

t by

th

e In

stitu

tion

with

any

thi

rd p

arty

[in

the

com

mer

cial

sec

tor]

[an

d Clin

ical

Pat

ient

Car

e].

5.A

CA

DE

MIC

PU

BLI

CA

TIO

N A

ND

IM

PA

CT

5.1

The

Proj

ect

is u

nder

take

n by

the

Ins

titut

ion

in p

ursu

ance

of

a pr

imar

y ch

arita

ble

purp

ose

of t

he I

nstit

utio

n; t

hat

is t

he a

dvan

cem

ent

of e

duca

tion

thro

ugh

teac

hing

an

d re

sear

ch.

Ther

efor

e, n

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t,

any

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n (i

n ea

ch c

ase

whe

ther

or

not

invo

lved

in

the

Pro

ject

) m

ay,

prov

ided

the

Ins

titut

ion

has

not

rece

ived

a C

onfid

entia

lity

Not

ice

unde

r cl

ause

5.2

:

5.1.

1 di

scus

s w

ork

unde

rtak

en a

s pa

rt o

f th

e Pr

ojec

t in

Ins

titut

ion

sem

inar

s,

tuto

rial

s an

d le

ctur

es;

and

5.1.

2 Pu

blis

h an

y Bac

kgro

und

of t

he C

olla

bora

tor

or a

ny o

f th

e Res

ults

.

231

5.2

The

Inst

itution

will

sub

mit

to t

he C

olla

bora

tor,

in

writing

, de

tails

of

any

of t

he

Res

ults

and

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

ny e

mpl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

date

of

the

prop

osed

sub

mis

sion

for

Pub

licat

ion.

Th

e Col

labo

rato

r m

ay,

by g

ivin

g w

ritt

en n

otic

e to

the

Ins

titut

ion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Col

labo

rato

r's

reas

onab

le o

pini

on,

that

del

ay is

nece

ssar

y in

ord

er t

o se

ek

pate

nt o

r ot

her

prot

ectio

n fo

r an

y of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny

of t

he R

esul

ts o

r in

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

re t

o be

Pu

blis

hed;

or

5.2.

2 pr

even

t th

e Pu

blic

atio

n of

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch i

s Con

fiden

tial In

form

atio

n an

d w

hich

can

not

be p

rote

cted

by

pate

nt o

r ot

her

Inte

llect

ual Pr

oper

ty R

ight

reg

istr

atio

n [o

r w

hich

may

be

prot

ecte

d in

tha

t w

ay b

ut w

hich

the

Col

labo

rato

r ha

s ch

osen

not

to

prot

ect

in t

hat

way

].

The

Col

labo

rato

r m

ust

give

tha

t Con

fiden

tialit

y N

otic

e w

ithin

[15

] O

R [

30]

days

af

ter

the

Col

labo

rato

r re

ceiv

es

deta

ils

of

the

prop

osed

Pu

blic

atio

n.

If

th

e In

stitu

tion

does

no

t re

ceiv

e a

Con

fiden

tialit

y N

otic

e w

ithin

th

at

period

, th

e pr

opos

ed

Publ

icat

ion

may

pr

ocee

d,

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch i

s th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

and

whi

ch m

ay

not

be P

ublis

hed

unle

ss t

he C

olla

bora

tor

has

give

n its

writt

en c

onse

nt t

o th

at

Publ

icat

ion]

.

5.3

The

Col

labo

rato

r ac

know

ledg

es t

hat

the

Inst

itutio

n is

req

uire

d by

its

fun

ders

to

dem

onst

rate

the

Ins

titut

ion’

s im

pact

on

soci

ety

and

agre

es t

o pr

ovid

e to

the

In

stitu

tion

any

info

rmat

ion

whi

ch t

he I

nstit

utio

n re

ason

ably

req

uest

s in

ord

er t

o al

low

it

to d

emon

stra

te t

hat

impa

ct p

rovi

ded

that

, un

der

or p

ursu

ant

to t

his

clau

se:

the

Inst

itutio

n w

ill

not

be

entit

led

to re

ceiv

e or

di

sclo

se

any

of th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

or

any

info

rmat

ion

whi

ch

iden

tifie

s or

al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pur

suan

t to

thi

s cl

ause

will

be

gene

ral i

n na

ture

.

6.C

ON

FID

ENT

IALI

TY

6.1

[With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Fun

ding

Con

ditio

ns,]

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

pa

rty,

nor

use

for

any

pur

pose

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t,

any

of t

he o

ther

Par

ty's

Con

fiden

tial

Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of

the

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial or

not

to

disc

lose

it

to a

ny

othe

r pa

rty

to t

he e

xten

t th

at:

6.2.

1 if

it is

rec

eive

d fr

om t

he o

ther

Par

ty,

it is

kno

wn

to t

he R

ecip

ient

or

any

Gro

up C

ompa

ny (

dem

onst

rabl

e by

writt

en r

ecor

ds)b

efor

e its

rec

eipt

fro

m

the

othe

r Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

ential

ity

to t

he o

ther

Par

ty;

6.2.

2 it

is o

r be

com

es p

ublic

ly k

now

n w

ithou

t an

y br

each

of

this

Agr

eem

ent

or

any

othe

r un

dert

akin

g to

kee

p it

conf

iden

tial

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

entia

lity

owed

to

the

othe

r Pa

rty;

6.2.

4 it

has

been

in

depe

nden

tly

deve

lope

d by

th

e Rec

ipie

nt

or

any

Gro

up

Com

pany

with

out

refe

renc

e to

the

oth

er P

arty

’s C

onfid

ential

Inf

orm

atio

n;

6.2.

5 it

is

disc

lose

d pu

rsua

nt

to

the

requ

irem

ent

of

any

law

or

re

gula

tion

(pro

vide

d, in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of In

form

atio

n Act

20

00 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, no

ne o

f th

e ex

cept

ions

to

that

Ac

t or

tho

se Reg

ulat

ions

ap

plie

s to

th

e in

form

atio

n di

sclo

sed)

or

purs

uant

to

the

ord

er o

f an

y Cou

rt o

f co

mpe

tent

jur

isdi

ctio

n or

the

req

uire

men

t of

any

com

pete

nt r

egul

ator

y au

thor

ity,

and

that

, in

ea

ch

case

w

here

th

e la

w

perm

its,

the

Part

y re

quired

to

m

ake

that

di

sclo

sure

has

inf

orm

ed t

he o

ther

, w

ithin

a r

easo

nabl

e tim

e af

ter

bein

g re

quired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t to

dis

clos

e an

d th

e in

form

atio

n re

quired

to

be d

iscl

osed

; or

6.2.

6 it

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.3

The

Inst

itutio

n w

ill

not

be

in

brea

ch

of

any

oblig

atio

n to

ke

ep

any

of

the

Col

labo

rato

r's

Bac

kgro

und

or i

nfor

mat

ion,

con

fiden

tial

or n

ot t

o di

sclo

se i

t to

any

th

ird

part

y, b

y:

6.3.

1 [e

xcep

t in

re

latio

n to

th

e Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

] Pu

blis

hing

an

y of

th

em

if th

e In

stitu

tion

has

follo

wed

the

pro

cedu

re i

n cl

ause

5.2

and

has

rec

eive

d no

Con

fiden

tialit

y N

otic

e w

ithin

the

per

iod

stat

ed in

tha

t cl

ause

; or

6.3.

2 m

akin

g th

em a

vaila

ble

to a

ny s

tude

nt o

f th

e In

stitu

tion

who

nee

ds t

o kn

ow

them

in

orde

r to

exe

rcis

e th

e rig

hts

gran

ted

in t

his

Agr

eem

ent,

pro

vide

d th

ey a

re n

ot u

sed

exce

pt a

s ex

pres

sly

perm

itted

by

this

Agr

eem

ent

and

the

stud

ent

unde

rtak

es t

o ke

ep t

hat

Bac

kgro

und

and

info

rmat

ion

conf

iden

tial

.

6.5

The

Col

labo

rato

r w

ill no

t be

in

br

each

of

an

y ob

ligat

ion

to ke

ep an

y of

th

e In

stitu

tion'

s Bac

kgro

und,

Res

ults

or

ot

her

info

rmat

ion

conf

iden

tial

or

no

t to

di

sclo

se

them

to

an

y th

ird

part

y,

by

mak

ing

them

av

aila

ble

to

any

Gro

up

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

the

Col

labo

rato

r or

any

Gro

up

Com

pany

, w

ho n

eeds

to

know

the

sam

e in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

th

is A

gree

men

t, p

rovi

ded

they

are

not

use

d ex

cept

as

expr

essl

y pe

rmitt

ed b

y th

is

Agr

eem

ent

and

the

reci

pien

t un

dert

akes

to

keep

the

m c

onfid

ential

.

6.5

[Nei

ther

Par

ty w

ill b

e in

bre

ach

of a

ny o

blig

atio

n to

kee

p an

y of

the

oth

er P

arty

’s

Con

fiden

tial

Info

rmat

ion,

con

fiden

tial

or

not

to d

iscl

ose

it to

any

thi

rd p

arty

by

disc

losi

ng it

to

the

Fund

ing

Bod

y in

acc

orda

nce

with

the

Fun

ding

Con

ditio

ns.]

6.6

If t

he I

nstit

utio

n re

ceiv

es a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 to

di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

it

will

not

ify t

he C

olla

bora

tor

and

will

con

sult

with

the

Col

labo

rato

r pr

ompt

ly a

nd b

efor

e m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or t

hose

Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

an

d w

ill n

otify

the

Col

labo

rato

r of

the

int

ende

d re

spon

se t

o th

at r

eque

st.

The

Col

labo

rato

r w

ill r

espo

nd t

o th

e In

stitu

tion

with

in 1

0 da

ys a

fter

rec

eivi

ng t

he

Inst

itutio

n’s

notic

e if

that

not

ice

requ

ests

the

Col

labo

rato

r to

pro

vide

inf

orm

atio

n to

ass

ist

the

Inst

itutio

n to

det

erm

ine

whe

ther

or

not

an e

xem

ptio

n to

the

Fre

edom

of

In

form

atio

n Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

20

04

232

appl

ies

to t

he i

nfor

mat

ion

requ

este

d un

der

that

Act

or

thos

e Reg

ulat

ions

. Th

e Col

labo

rato

r m

ay

mak

e re

pres

enta

tions

in

re

latio

n to

th

at

requ

est

and

the

prop

osed

res

pons

e an

d m

ay r

eque

st a

men

dmen

ts t

o th

e pr

opos

ed r

espo

nse.

[At

the

Col

labo

rato

r’s

requ

est,

exc

ept

in o

rder

to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

th

e In

form

atio

n Com

mis

sion

er

or

the

Info

rmat

ion

Trib

unal

, th

e In

stitu

tion

will

not

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

in

resp

onse

to

a

requ

est

unde

r th

e Fr

eedo

m o

f In

form

atio

n Act

200

0 or

the

Env

iron

men

tal

Info

rmat

ion

Reg

ulat

ions

20

04 p

rovi

ded

that

:

6.6.

1 th

e Col

labo

rato

r m

akes

th

at

requ

est

in

writin

g w

ithin

10

da

ys

afte

r re

ceiv

ing

the

Inst

itution

’s n

otic

e gi

ven

unde

r th

is c

laus

e 6.

6; a

nd

6.6.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

P

arti

es),

an

d ke

eps

them

fu

lly

and

effe

ctiv

ely

inde

mni

fied,

ag

ains

t ea

ch

and

ever

y cl

aim

m

ade

agai

nst

any

of

the

Inde

mni

fied

Part

ies

as a

res

ult

of t

he I

nstit

utio

n no

t m

akin

g an

y di

sclo

sure

of

th

e Col

labo

rato

r’s

Con

fiden

tial

info

rmat

ion

in re

spon

se to

a

requ

est

unde

r th

e Fr

eedo

m

of

Info

rmat

ion

Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4.]

6.7

Nei

ther

Par

ty w

ill u

se t

he o

ther

’s n

ame

or t

he n

ame

of a

ny o

f th

e Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

log

o in

any

pre

ss r

elea

se o

r pr

oduc

t ad

vert

isin

g, o

r fo

r an

y ot

her

prom

otio

nal pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y’s

writt

en c

onse

nt.

6.8

[Not

with

stan

ding

an

y ot

her

prov

isio

n of

th

is

Agr

eem

ent,

th

e In

stitu

tion

may

id

entif

y th

e su

ms

rece

ived

fro

m t

he C

olla

bora

tor

in t

he I

nstit

utio

n’s

Ann

ual R

epor

t an

d si

mila

r pu

blic

atio

ns][

, an

d th

e Col

labo

rato

r m

ay,

in o

rder

to

com

ply

with

any

tr

ansp

aren

cy r

epor

ting

oblig

atio

ns t

o w

hich

it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.LI

MIT

AT

ION

OF

LIA

BIL

ITY

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

em

ploy

ees

invo

lved

in

the

Proj

ect

or l

ikel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed i

n th

e Pr

ojec

t],

but

not

havi

ng m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r),

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

st

uden

ts

who

w

ork

on

the

Proj

ect,

or

th

e co

nten

t or

us

e of

an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ection

with

the

Pr

ojec

t, w

ill n

ot c

onst

itute

or

resu

lt in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

OR

7.1

Nei

ther

of

the

Part

ies

mak

es a

ny r

epre

sent

atio

n or

giv

es a

ny w

arra

nty

to t

he

othe

r th

at a

ny a

dvic

e or

inf

orm

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

st

uden

ts w

ho w

ork

or h

ave

wor

ked

on t

he P

roje

ct,

or t

he c

onte

nt o

r us

e of

any

Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in a

ny i

nfring

emen

t of

thi

rd-p

arty

righ

ts.

7.2

Exce

pt

unde

r [t

he

war

rant

y in

cl

ause

7.

1 an

d]

the

inde

mni

ties

in

clau

ses

[6.6

, ]7

.3 a

nd 7

.4,

and

subj

ect

to c

laus

e 7.

8, n

eith

er P

arty

acc

epts

any

liab

ility

or

resp

onsi

bilit

y fo

r an

y us

e w

hich

may

be

mad

e by

the

oth

er P

arty

of

any

of t

he

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

the

Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

.

7.3

Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] (

the

Ind

emn

ifyi

ng

P

arty

) w

ill i

ndem

nify

the

oth

er P

arty

, an

d its

em

ploy

ees

and

stud

ents

(to

geth

er

the

Ind

emn

ifie

d

Par

ties

), an

d ke

ep th

em f

ully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

re

sult

of t

he I

ndem

nify

ing

Part

y’s

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

and

any

m

ater

ials

, w

orks

or

info

rmat

ion

rece

ived

fro

m a

n In

dem

nifie

d Pa

rty

purs

uant

to

this

Agr

eem

ent,

pro

vide

d th

at t

he I

ndem

nifie

d Pa

rty

mus

t:

7.3.

1 pr

ompt

ly n

otify

the

Ind

emni

fyin

g Pa

rty

of d

etai

ls o

f th

e cl

aim

;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te its

los

ses

and

expe

nses

aris

ing

from

the

cl

aim

;

7.3.

4 al

low

th

e In

dem

nify

ing

Part

y to

ha

ve th

e co

nduc

t of

th

e de

fenc

e an

d se

ttle

men

t of

the

cla

im;

and

7.3.

5 gi

ve t

he I

ndem

nify

ing

Part

y al

l rea

sona

ble

assi

stan

ce (

at t

he I

ndem

nify

ing

Part

y ex

pens

e) in

dea

ling

with

the

cla

im.

The

inde

mni

ty in

this

cla

use

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, its

de

liber

ate

brea

ch o

f th

is A

gree

men

t or

its

kno

win

g in

frin

gem

ent

of a

ny t

hird

pa

rty’

s In

telle

ctua

l Pr

oper

ty R

ight

s or

its

kno

win

g br

each

of

any

third

part

y’s

righ

ts o

f co

nfid

ence

.

7.4

Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all

cost

s, c

laim

s, d

eman

ds,

expe

nses

an

d lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

it o

f Sch

edul

e 6.

7.5

Sub

ject

to

cl

ause

7.

7 an

d 7.

8, an

d ex

cept

un

der

the

inde

mni

ties

in

cl

ause

s [6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

thi

s Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot e

xten

d to

:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; or

7.5.

2 an

y lo

ss of

pr

ofits

, lo

ss o

f re

venu

e, lo

ss of

da

ta,

loss

of

con

trac

ts o

r op

port

unity

, w

heth

er d

irec

t or

indi

rect

,

Even

, in

eac

h ca

se,

if th

e Pa

rty

brin

ging

the

cla

im h

as a

dvis

ed t

he o

ther

of

the

poss

ibili

ty o

f th

ose

loss

es,

or if

the

y w

ere

with

in t

he o

ther

Par

ty's

con

tem

plat

ion.

7.6

Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

oth

er

for

all a

nd a

ny b

reac

hes

of t

his

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er

way

out

of

the

subj

ect

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill

not

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n][t

he p

ortio

n of

the

Ext

erna

l Fun

ding

al

loca

ted

to t

hat

Part

y] O

R [

£ins

ert

figur

e].

7.7

Sub

ject

in

each

cas

e to

cla

use

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

ot

her:

233

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

;

7.7.

2 un

der

the

inde

mni

ty in

clau

se 7

.4 w

ill n

ot e

xcee

d in

tot

al £

[ins

ert

figur

e];

and

[7.7

.3 f

or a

ll an

d an

y br

each

es o

f th

e Fu

ndin

g Con

ditio

ns w

ill n

ot e

xcee

d in

tot

al

[the

am

ount

of

the

Exte

rnal

Fun

ding

]].

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

that

, by

law

, ca

nnot

be

limite

d or

ex

clud

ed;

or

7.8.

3 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.9

The

expr

ess

unde

rtak

ings

and

war

rant

ies

give

n by

the

Par

ties

in t

his

Agr

eem

ent

are

in li

eu o

f al

l oth

er w

arra

ntie

s, c

ondi

tions

, te

rms,

und

erta

king

s an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on la

w,

cust

om,

trad

e us

age,

cou

rse

of d

ealin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

.

8.FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

dela

yed

or p

reve

nted

by

circ

umst

ance

s be

yond

its

rea

sona

ble

cont

rol,

that

Par

ty w

ill n

ot b

e in

bre

ach

of t

his

Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce l

asts

mor

e th

an [

3] O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith

imm

edia

te e

ffec

t by

gi

ving

writt

en no

tice

to t

he P

arty

w

hose

pe

rfor

man

ce is

de

laye

d or

pre

vent

ed.

9.TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

the

oth

er P

arty

if t

he o

ther

Par

ty:

9.1.

1 is

in

brea

ch o

f an

y pr

ovis

ion

of t

his

Agr

eem

ent

and

(if

it is

cap

able

of

rem

edy)

the

bre

ach

has

not

been

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

af

ter

rece

ipt

of

writt

en

notic

e sp

ecify

ing

the

brea

ch

and

requ

irin

g its

re

med

y;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

app

oint

ed o

ver

the

who

le o

r an

y pa

rt o

f th

e ot

her

part

y's

asse

ts,

or i

f th

e ot

her

part

y m

akes

any

arr

ange

men

t w

ith it

s cr

edito

rs;

or

9.1.

3 co

mm

its a

ny b

reac

h of

Sch

edul

e 5

[or

Sch

edul

e 7]

.

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Pro

ject

. W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

w

ho or

igin

ally

ap

poin

ted

that

m

embe

r of

th

e Key

Pe

rson

nel

will

no

min

ate

a su

cces

sor.

Th

e ot

her

Part

y w

ill n

ot u

nrea

sona

bly

refu

se t

o ac

cept

the

nom

inat

ed

succ

esso

r, b

ut if

the

succ

esso

r is

not

acc

epta

ble

to t

he o

ther

Par

ty o

n re

ason

able

grou

nds,

or

if th

e ap

poin

tor

cann

ot f

ind

a su

cces

sor,

eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

by g

ivin

g th

e ot

her

not

less

tha

n [3

] m

onth

s' n

otic

e.

9.4

[The

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time

prov

ided

th

e Col

labo

rato

r co

mpl

ies

with

cl

ause

s 9.

6 an

d 9.

7,

by gi

ving

no

t le

ss

than

[3

] m

onth

s' n

otic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

(su

bjec

t to

cla

use

9.5)

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

, 9.

8 an

d 10

w

ill s

urvi

ve t

he c

ompl

etio

n of

the

Pro

ject

or

the

term

inat

ion

of t

his

Agr

eem

ent

for

any

reas

on a

nd w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct i

ndef

inite

ly o

r, i

n th

e ca

se o

f cl

ause

6, in

acc

orda

nce

with

cla

use

6.1.

9.5

On

the

term

inat

ion

of t

his

Agr

eem

ent

unde

r cl

ause

s 8,

9.1

, 9.

2 or

9.3

all

righ

ts

and

licen

ces

gran

ted

by o

ne P

arty

to

the

othe

r Pa

rty

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

will

aut

omat

ical

ly t

erm

inat

e ex

cept

:

9.5.

1 an

y righ

ts t

o us

e an

y Res

ults

or

Bac

kgro

und

for

Acad

emic

and

Res

earc

h Pu

rpos

es;

9.5.

2 an

y righ

t to

Pub

lish

in a

ccor

danc

e w

ith c

laus

e 5;

and

9.5.

3 if

the

Col

labo

rato

r te

rmin

ates

thi

s Agr

eem

ent

in a

ccor

danc

e w

ith c

laus

e 9.

1,

the

licen

ce g

rant

ed t

o th

e Col

labo

rato

r un

der

clau

se 4

.6 w

ill s

urvi

ve t

he

term

inat

ion

of t

his

Agr

eem

ent

and

will

con

tinue

inde

finite

ly.

9.6

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

bef

ore

term

inat

ion

[and

not

cov

ered

by

the

Exte

rnal

Fun

ding

]. I

f te

rmin

atio

n oc

curs

pu

rsua

nt

to

clau

se 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

w

hich

th

e In

stitu

tion

has

incu

rred

or

agre

ed t

o in

cur

and

whi

ch t

he I

nstit

utio

n is

una

ble

to c

ance

l.

9.8

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

by t

he I

nstit

utio

n un

der

clau

se 9

.1 o

r 9.

2 [o

r by

the

Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n is

in

tend

ed t

o co

ver

the

cost

s of

em

ploy

ing

any

Inst

itution

sta

ff i

nvol

ved

in t

he

Proj

ect,

the

Col

labo

rato

r w

ill c

ontin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

th

e ac

tual

direc

t em

ploy

men

t co

sts

of s

taff

who

wer

e ap

poin

ted

by t

he I

nstit

utio

n to

w

ork

on

the

Proj

ect

befo

re

the

serv

ice

of

the

notic

e,

prov

ided

th

at

the

Inst

itutio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

con

tinu

e un

til

the

effe

ctiv

e da

te o

f te

rmin

atio

n of

eac

h st

aff

cont

ract

or

the

date

on

whi

ch t

he P

roje

ct w

as t

o ha

ve e

nded

(w

hich

ever

is

the

earlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

inc

lude

a p

ropo

rtio

n of

any

red

unda

ncy

cost

s w

hich

ha

ve b

een

incu

rred

by

the

Inst

itutio

n as

a d

irec

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

th

at

prop

ortio

n to

be

ca

lcul

ated

by

di

vidi

ng

the

indi

vidu

al’s

in

volv

emen

t in

the

Pro

ject

by

the

dura

tion

of h

is p

erio

d of

em

ploy

men

t by

the

In

stitu

tion.

9.8

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hole

of

th

at co

ntribu

tion

has

not,

by

th

e en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

pur

pose

s fo

r w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GEN

ERA

L

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

writing

, m

ust

be d

eliv

ered

to

the

othe

r Pa

rty

by a

ny o

f th

e m

etho

ds s

et o

ut i

n th

e le

ft h

and

234

colu

mn

belo

w,

and

will

be

deem

ed t

o be

rec

eive

d on

the

cor

resp

ondi

ng d

ay s

et

out

in t

he r

ight

han

d co

lum

n:

Met

ho

d o

f se

rvic

e

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

the

day

of d

eliv

ery

By

pre-

paid

first

cla

ss p

ost

the

seco

nd B

usin

ess

Day

aft

er p

ostin

g

By

reco

rded

del

iver

y po

st

the

next

Bus

ines

s D

ay a

fter

pos

ting

The

Part

ies'

res

pect

ive

repr

esen

tativ

es f

or t

he r

ecei

pt o

f no

tices

are

, un

til c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

For

the

Inst

itu

tio

n:

For

the

Co

llab

ora

tor:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it

, w

ithou

t fir

st o

btai

ning

the

writt

en c

onse

nt

of t

he o

ther

Par

ty[,

exc

ept

that

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a

who

le t

o a

Gro

up C

ompa

ny w

ithou

t th

e co

nsen

t of

the

Ins

titut

ion]

. N

eith

er P

arty

w

ill u

nrea

sona

bly

with

hold

or

dela

y its

con

sent

.

10.3

Il

leg

al/

un

enfo

rcea

ble

pro

visi

on

s:

If t

he w

hole

or

any

part

of

any

prov

isio

n of

th

is A

gree

men

t is

voi

d or

une

nfor

ceab

le in

any

jur

isdi

ctio

n, t

he o

ther

pro

visi

ons

of

this

Agr

eem

ent,

and

the

res

t of

the

voi

d or

une

nfor

ceab

le p

rovi

sion

, w

ill c

ontinu

e in

for

ce in

that

jur

isdi

ctio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on in

any

othe

r ju

risd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

the

oth

er p

arty

, or

fai

ls t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

con

stitu

te a

wai

ver

of t

hat

righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a f

utur

e oc

casi

on.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em of

pr

inci

pal

and

agen

t. N

eith

er Pa

rty

has

any

auth

ority

to

m

ake

any

repr

esen

tatio

n or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

[and

the

Fun

ding

Con

dition

s] c

onst

itute

[s]

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to i

ts s

ubje

ct m

atte

r.

Each

Pa

rty

ackn

owle

dges

tha

t it

has

not

ente

red

into

thi

s Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t, a

gree

men

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch P

arty

wai

ves

any

clai

m f

or b

reac

h of

th

is

Agr

eem

ent,

or

an

y righ

t to

re

scin

d th

is

Agr

eem

ent

in

resp

ect

of

any

repr

esen

tatio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

liab

ility

whi

ch e

ither

Par

ty m

ay h

ave

to t

he o

ther

(o

r an

y righ

t w

hich

eith

er P

arty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in r

espe

ct o

f an

y fr

audu

lent

mis

repr

esen

tatio

n or

fra

udul

ent

conc

ealm

ent

befo

re t

he s

igni

ng o

f th

is A

gree

men

t.

10.7

Fo

rmal

itie

s:

Each

Pa

rty

will

ta

ke

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly r

equi

red

by t

he o

ther

Par

ty t

o gi

ve e

ffec

t to

any

of

its r

ight

s un

der

this

Agr

eem

ent,

or

to e

nabl

e th

eir

regi

stra

tion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit c

onfe

rred

by

this

Agr

eem

ent,

unl

ess

this

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

un

der

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Ag

reem

ent

and

any

disp

ute

or cl

aim

(i

nclu

ding

no

n-co

ntra

ctua

l dis

pute

s or

cla

ims)

arisi

ng o

ut o

f or

in c

onne

ctio

n w

ith it

or

its s

ubje

ct

mat

ter

or f

orm

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch

has

aris

en o

r m

ay a

rise

out

of,

or

in c

onne

ctio

n w

ith,

this

Agr

eem

ent,

exc

ept

that

a

Part

y m

ay

brin

g pr

ocee

ding

s to

pr

otec

t its

In

telle

ctua

l Pr

oper

ty

Rig

hts

or

Con

fiden

tial

Inf

orm

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny is

sue

conc

erni

ng

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne p

arty

has

not

ified

the

oth

er

of t

hat

issu

e, t

hey

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

In

stitu

tion,

and

to

[ins

ert

offic

er]

in t

he c

ase

of t

he C

olla

bora

tor

in a

n at

tem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pr

ocee

ding

s in

acc

orda

nce

with

cla

use

10.1

0 if

the

mat

ter

has

not

been

res

olve

d w

ithin

tha

t [1

4] d

ay p

erio

d, a

nd e

ither

Par

ty m

ay b

ring

pro

ceed

ings

to

prot

ect

its

Inte

llect

ual

Prop

erty

R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

iction

, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

.

10.1

2 A

nti

-Bri

ber

y: E

ach

part

y w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 5.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch p

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

6.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

If

tha

t m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

orig

inal

of

the

exec

uted

cou

nter

part

as

soon

as

poss

ible

.

[10.

15 E

xpo

rt

Co

ntr

ol:

ea

ch

Part

y w

ill

com

ply

with

ap

plic

able

U

K

expo

rt

cont

rol

legi

slat

ion

and

regu

lation

s. E

ach

Part

y w

ill c

ompl

y w

ith t

he s

peci

fic c

ondi

tions

of

any

US e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in

writing

and

whi

ch a

re a

pplic

able

to

it.]

SIG

NED

fo

r an

d on

be

half

of

the

Inst

itutio

n:

SIG

NED

fo

r an

d on

be

half

of

the

Col

labo

rato

r:

235

Nam

e

Posi

tion

Sig

natu

re

Nam

e

Posi

tion

Sig

natu

re

[Rea

d an

d un

ders

tood

by

the

Prin

cipa

l Rea

d an

d un

ders

tood

by

the

Inve

stig

ator

:Col

labo

rato

r’s

Sup

ervi

sor:

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

. Sig

natu

reSig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e]

SC

HED

ULE

1

Th

e Fi

nan

cial

Co

ntr

ibu

tio

n

236

SC

HED

ULE

2

The

Pro

ject

Pla

n

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Loca

tio

n

Bac

kg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Task

s to

be

carr

ied

ou

t b

y ea

ch P

arty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cilit

ies

and

eq

uip

men

t ea

ch P

arty

is t

o p

rovi

de

Res

ult

s A

nti

cip

ated

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s

[SC

HED

ULE

3

The

Fun

din

g C

on

dit

ion

s]

237

SC

HED

ULE

4

Goo

d D

ata

Man

agem

ent

Pra

ctic

es

1.Res

earc

h da

ta

mus

t be

ge

nera

ted

usin

g so

und

scie

ntifi

c te

chni

ques

an

dpr

oces

ses;

2.Res

earc

h da

ta m

ust

be a

ccur

atel

y re

cord

ed i

n ac

cord

ance

with

goo

d sc

ient

ific

prac

tices

by

the

peop

le c

ondu

ctin

g th

e re

sear

ch;

3.Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in a

ccor

danc

ew

ith g

ood

scie

ntifi

c pr

actic

es;

4.Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.D

ata

trai

ls m

ust

be k

ept

to a

llow

peo

ple

to d

emon

stra

te e

asily

and

to

reco

nstr

uct

key

deci

sion

s m

ade

during

the

con

duct

of th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.Ea

ch P

arty

has

the

rig

ht,

on n

ot l

ess

than

[30

] da

ys w

ritt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

esan

d pr

oced

ures

.

SC

HED

ULE

5

An

ti-B

rib

ery

1.Ea

ch P

arty

will

, in

con

nect

ion

with

the

Pro

ject

:

1.1

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or i

tsac

tiviti

es an

d w

hich

re

late

to

an

ti-br

iber

y or

an

ti-co

rrup

tion

(o

r bo

th),

in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

the

Brib

ery

Act

201

0 if

it ha

d be

en c

arried

out

in t

he U

nite

d K

ingd

om;

1.3

have

po

licie

s an

d pr

oced

ures

(i

nclu

ding

ad

equa

te

proc

edur

es

as

dete

rmin

ed i

n ac

cord

ance

with

sec

tion

7(2)

of

the

Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed u

nder

sec

tion

9 of

tha

t Act

) to

ens

ure

com

plia

nce

with

pa

ragr

aphs

1.1

and

1.2

abo

ve;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 1

.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er p

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.7

keep

acc

urat

e an

d up

to

date

rec

ords

and

boo

ks o

f ac

coun

t sh

owin

g al

l pa

ymen

ts m

ade

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

co

mpl

ianc

e w

ith t

his

Sch

edul

e.);

and

1.8

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

an

d to

cop

y th

ose

reco

rds

and

acco

unts

and

to

mee

t w

ith its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.Ea

ch Pa

rty

will

en

sure

th

at an

y pe

rson

as

soci

ated

w

ith it

(as

dete

rmin

ed

inac

cord

ance

with

sec

tion

8 of

the

Bribe

ry A

ct 2

010

and

para

grap

h 4

belo

w)

who

isin

volv

ed i

n th

e Pr

ojec

t, i

s in

volv

ed i

n th

e Pr

ojec

t on

ly o

n th

e ba

sis

of a

writt

enco

ntra

ct w

hich

impo

ses

on t

hat

pers

on t

erm

s eq

uiva

lent

to

thos

e im

pose

d on

tha

tPa

rty

in t

his

Sch

edul

e.

3.Ea

ch P

arty

will

ens

ure

that

eac

h pe

rson

ref

erre

d to

in p

arag

raph

2 a

bove

com

plie

sw

ith t

erm

s eq

uiva

lent

to

the

term

s im

pose

d by

thi

s Sch

edul

e, a

nd w

ill b

e lia

ble

toth

e ot

her

Part

y fo

r an

y br

each

by

that

per

son

of a

ny o

f th

ose

term

s.

4.A p

erso

n as

soci

ated

with

a p

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

com

pani

es a

nd s

ubco

ntra

ctor

s an

d th

eir

resp

ectiv

e em

ploy

ees.

238

SC

HED

ULE

6

Dat

a P

rote

ctio

n

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l Dat

a on

beh

alf

of t

he o

ther

Pa

rty

(th

e D

ata

Co

ntr

olle

r),

the

prov

isio

ns o

f th

is S

ched

ule

will

app

ly.

1.Th

e Pa

rty

whi

ch c

arries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.1

Proc

ess

that

Pe

rson

al

Dat

a in

ac

cord

ance

w

ith

the

Dat

a Pr

otec

tion

Legi

slat

ion,

aff

ordi

ng t

o D

ata

Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

w

ould

ha

ve

wer

e th

eir

Pers

onal

D

ata

bein

g Pr

oces

sed

by

the

Dat

a Con

trol

ler;

1.2

Proc

ess

that

Per

sona

l D

ata

only

in

acco

rdan

ce w

ith t

he D

ata

Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’ r

eque

sts

for

acce

ss t

o, in

form

atio

n ab

out,

and

the

rec

tific

atio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

en

quiry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al D

ata

bein

g Pr

oces

sed

for

the

Dat

a Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

th

at

requ

est

or

enqu

iry

as

the

Dat

a Con

trol

ler

may

re

ason

ably

re

ques

t,

and

not

resp

ond

to

any

such

re

ques

t or

en

quiry

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt;

1.6

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

tan

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph1

abov

e,

and

will

gi

ve

the

Dat

a Con

trol

ler

any

assi

stan

ce

whi

ch

the

Dat

aCon

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(and

not

def

ined

els

ewhe

re in

thi

s Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

inth

e D

ata

Prot

ectio

n Le

gisl

atio

n.

4.Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

nLe

gisl

atio

n,

in

part

icul

ar

to

refle

ct

any

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Part

ies

to c

ompl

y w

ith a

ny r

equi

rem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

nCom

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

toth

e Pr

oces

sing

of Pe

rson

al D

ata.

5.Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

def

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

the

Dat

a Con

trol

ler,

not

with

stan

ding

the

ter

min

atio

n of

thi

s Agr

eem

ent

or t

heco

mpl

etio

n of

the

Pro

ject

.

6.Th

e D

ata

Proc

esso

r w

ill

inde

mni

fy

the

Dat

a Con

trol

ler

and

keep

th

e D

ata

Con

trol

ler

fully

and

eff

ectiv

ely

inde

mni

fied

on d

eman

d ag

ains

t al

l co

sts,

cla

ims,

dem

ands

, ex

pens

es a

nd l

iabi

litie

s of

any

nat

ure

aris

ing

out

of o

r in

con

nect

ion

with

any

bre

ach

by t

he D

ata

Proc

esso

r of

thi

s Sch

edul

e.

OR

Whe

re b

oth

Part

ies

dete

rmin

e th

e pu

rpos

e of

the

Pro

cess

ing

in r

espe

ct o

f an

y Pe

rson

al

Dat

a w

hich

is P

roce

ssed

in t

he c

ours

e of

or

for

the

purp

ose

of t

he P

roje

ct,

the

prov

isio

ns

of t

his

Sch

edul

e w

ill a

pply

.

1.Ea

ch o

f th

e Pa

rtie

s w

ill b

e a

Dat

a Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

dit

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch it

Pro

cess

esin

con

nect

ion

with

the

Pro

ject

. It

will

:

1.1

Proc

ess

that

Per

sona

l Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,af

ford

ing

to D

ata

Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.3

take

suc

h te

chni

cal an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e ot

her

Part

y su

ch

info

rmat

ion

and

assi

stan

ce as

it

reas

onab

ly

requ

ires

in

orde

r to

ena

ble

the

othe

r Pa

rty

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

par

ticul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o,

info

rmat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er p

arty

suc

h as

sist

ance

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

it m

ay r

easo

nabl

y re

ques

t;

1.6

notif

y th

e ot

her

Part

y im

med

iate

ly o

f an

y ac

tual

or

susp

ecte

d br

each

of

secu

rity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

239

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

par

ty’s

writt

en c

onse

nt.

2.Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l re

ason

able

tim

es t

o in

spec

t an

d re

view

the

step

s be

ing

take

n by

it

to c

ompl

y w

ith p

arag

raph

1 a

bove

, an

d w

ill g

ive

the

othe

r Pa

rty

any

assi

stan

ce w

hich

it

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.All

expr

essi

ons

in p

arag

raph

1, 2

, 4,

5 o

r 6

begi

nnin

g w

ith a

cap

ital l

ette

r (a

nd n

otde

fined

els

ewhe

re in

thi

s Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in t

he D

ata

Prot

ectio

n Le

gisl

atio

n.

4.Th

e pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

nLe

gisl

atio

n,

in

part

icul

ar

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Part

ies

to c

ompl

y w

ith a

ny r

equi

rem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

nCom

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

toth

e Pr

oces

sing

of Pe

rson

al D

ata.

5.Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

def

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

the

othe

r Pa

rty,

no

twith

stan

ding

th

e te

rmin

atio

n of

th

is

Agr

eem

ent

or

the

com

plet

ion

of t

he P

roje

ct.

[SC

HE

DU

LE 7

]

Par

t 1

- H

um

an R

igh

ts

1.U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

perf

orm

ance

of th

is A

gree

men

t:

1.12

no

t em

ploy

, en

gage

or

use

any

child

lab

our

in c

ircu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.13

no

t us

e fo

rced

la

bour

in

an

y fo

rm

(priso

n,

inde

ntur

ed,

bond

ed

or

othe

rwis

e);

1.14

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.15

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

and

if

any

acco

mm

odat

ion

is p

rovi

ded

by t

hat

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe f

or h

abita

tion

;

1.16

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re to

its

em

ploy

ees

in t

he e

vent

of ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

;

1.17

no

t di

scrim

inat

e ag

ains

t an

y em

ploy

ee on

an

y gr

ound

(i

nclu

ding

ra

ce,

relig

ion,

dis

abili

ty o

r ge

nder

);

1.18

no

t en

gage

in o

r su

ppor

t th

e us

e of

cor

pora

l pun

ishm

ent,

men

tal,

phys

ical

, se

xual

or

verb

al a

buse

;

1.19

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.20

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

th

e pr

evai

ling

indu

stry

wag

e, (

whi

chev

er i

s th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.21

co

mpl

y w

ith t

he l

aws

on w

orki

ng h

ours

and

em

ploy

men

t righ

ts i

n th

e co

untr

ies

in w

hich

it o

pera

tes;

and

1.22

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

inde

pend

ent

trad

e un

ions

and

fr

eedo

m o

f as

soci

atio

n.

2.Ea

ch P

arty

agr

ees

that

it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

ndth

at it

will

enc

oura

ge c

ompl

ianc

e w

ith e

thic

al s

tand

ards

and

hum

an r

ight

s by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by it

whe

n pe

rfor

min

g its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal

with

any

bre

ache

s of

thos

e po

licie

s.

Par

t 2

– A

nti

-Sla

very

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

240

10.

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es a

ndw

hich

rel

ate

to a

nti-

slav

ery

and

hum

an t

raff

icki

ng,

incl

udin

g t

he M

oder

n Sla

very

Act

201

5;

11.

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

4 M

oder

nSla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

12.

have

and

mai

ntai

n its

ow

n po

licie

s an

d pr

oced

ures

to

ensu

re c

ompl

ianc

e w

ithpa

ragr

aphs

1 a

nd 2

abo

ve;

13.

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 3

abo

ve;

14.

incl

ude

in i

ts c

ontr

acts

with

its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

dhu

man

tra

ffic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of t

his

Sch

edul

e;

15.

prom

ptly

rep

ort

to t

he o

ther

Par

ty a

ny b

reac

h of

thi

s se

ctio

n of

thi

s Sch

edul

e of

whi

ch it

bec

omes

aw

are;

16.

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e as

the

othe

r Pa

rty

may

rea

sona

bly

requ

est

from

tim

e to

tim

e;

17.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

sSch

edul

e.);

and

18.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

the

rec

ords

ref

erre

d to

in p

arag

raph

8 a

bove

and

to

mee

t w

ith its

per

sonn

elto

ver

ify c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e.

[Par

t 3

– t

he

Co

llab

ora

tor’

s P

olic

ies

and

Pro

ced

ure

s

Each

Par

ty w

ill c

ompl

y w

ith t

he f

ollo

win

g:

[Ins

ert

deta

ils]]

[SC

HED

ULE

8

Ag

reed

Lic

ence

Ter

ms

The

Lice

nsed

Res

ults

:

Excl

usiv

e Rig

hts:

Terr

itory

:

Fiel

d:

Dur

atio

n:

Paym

ent

Term

s:

Targ

ets:

Rev

ersi

on o

f Rig

hts:

]

241

Dat

e d _

____

____

____

____

____

____

201[

]

(1)

[IN

SER

T N

AM

E]

(2)

[IN

SER

T N

AM

E]

MO

DE

L C

OLL

AB

OR

ATI

ON

AG

REE

MEN

T 3

Sce

nar

io -

Th

e In

stit

uti

on

ow

ns

the

Res

ult

s an

d g

ran

ts t

he

Co

llab

orat

or a

no

n-e

xclu

sive

lic

ence

to

use

th

e R

esu

lts.

Th

e C

olla

bor

ato

r h

as t

he

rig

ht

to c

all

on t

he

Inst

itu

tion

to

neg

otia

te a

n a

ssig

nm

ent.

THIS

AG

REE

MEN

T d

ated

[…

……

……

……

……

……

……

……

…..

] 2

01[]

is m

ade

BET

WEE

N:

(1)

[IN

SER

T

NA

ME]

, w

hose

ad

min

istr

ativ

e of

fices

ar

e at

[i

nser

t ad

dres

s]

(th

e In

stit

uti

on

); a

nd

(2)

[IN

SER

T N

AM

E] [

LIM

ITED

] O

R [

PLC

], [

[a c

ompa

ny r

egis

tere

d in

[En

glan

d]

unde

r nu

mbe

r [i

nser

t nu

mbe

r],

who

se r

egis

tere

d of

fice

is a

t [i

nser

t ad

dres

s of

re

gist

ered

of

fice]

] O

R [[

inse

rt st

atus

of

th

e Col

labo

rato

r, e.

g. N

HS Tr

ust]

of

[i

nser

t ad

dres

s of

princ

ipal

offic

e]]

(th

e C

olla

bo

rato

r)

BA

CK

GR

OU

ND

The

part

ies

to t

his

Agr

eem

ent

wis

h to

col

labo

rate

on

a re

sear

ch p

roje

ct e

ntitl

ed "

[ins

ert

nam

e of

pro

ject

]".

[The

Tec

hnol

ogy

Str

ateg

y Boa

rd h

as a

nnou

nced

its

int

entio

n to

mak

e a

gran

t in

res

pect

of

tha

t pr

ojec

t, s

ubje

ct t

o th

e te

rms

of t

he o

ffer

let

ter

refe

rred

to

belo

w,

and

subj

ect

to

the

part

ies

ente

ring

into

an

agre

emen

t go

vern

ing

thei

r co

llabo

ratio

n.]

This

Agr

eem

ent

gove

rns

the

part

ies’

col

labo

ratio

n in

rel

atio

n to

tha

t pr

ojec

t.

3.

DE

FIN

ITIO

NS

AN

D I

NTE

RP

RE

TATI

ON

1.1

In t

his

Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

Aca

dem

ic P

ub

lica

tio

n:

the

publ

icat

ion

of a

n ab

stra

ct,

artic

le o

r pa

per

in

a jo

urna

l or

an

el

ectr

onic

re

posi

tory

, or

its

pr

esen

tatio

n at

a c

onfe

renc

e or

sem

inar

; an

d in

cl

ause

s 5

and

6 to

Pu

blis

h a

nd P

ub

lica

tio

n a

re

to b

e co

nstr

ued

as

mea

ning

suc

h pu

blic

atio

n;

Aca

dem

ic

and

R

esea

rch

P

urp

ose

s:

rese

arch

[(

exce

pt

[ins

ert

any

exce

ptio

ns])

],

teac

hing

[, a

nd]

educ

atio

n[ a

nd C

linic

al P

atie

nt

Car

e];

this

Ag

reem

ent:

th

is

docu

men

t,

incl

udin

g its

Sch

edul

es,

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

Bac

kg

rou

nd

: in

form

atio

n,

data

, te

chni

ques

, Kno

w-h

ow,

inve

ntio

ns,

disc

over

ies,

sof

twar

e an

d m

ater

ials

(r

egar

dles

s of

the

for

m o

r m

ediu

m in

whi

ch t

hey

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

this

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mon

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

the

Co

llab

ora

tor'

s S

up

ervi

sor:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Co

mm

ence

men

t D

ate:

[i

nser

t th

e da

te

on

whi

ch

the

Proj

ect

is

to

star

t/st

arte

d];

242

Co

nfi

den

tial

In

form

atio

n:

a Pa

rty’

s co

nfid

ential

in

form

atio

n is

: an

y Bac

kgro

und

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in t

he P

roje

ct [

and

iden

tifie

d as

co

nfid

ential

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in

the

Proj

ect

or

unde

r th

is

Agr

eem

ent

[and

ide

ntifi

ed a

s co

nfid

ential

bef

ore

or

at

the

time

of

disc

losu

re

or w

hich

, by

its

na

ture

or

fr

om

the

circ

umst

ance

s of

its

di

sclo

sure

, sh

ould

rea

sona

bly

be p

resu

med

to

be

conf

iden

tial

];

Co

ntr

ol:

th

e ab

ility

to

dire

ct t

he a

ffai

rs o

f an

othe

r pe

rson

, w

heth

er b

y vi

rtue

of

the

owne

rshi

p of

sha

res,

by

cont

ract

, or

in a

ny o

ther

way

;

the

Dat

a P

rote

ctio

n

Leg

isla

tio

n

whi

le t

hey

rem

ain

in f

orce

, th

e D

ata

Prot

ectio

n Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion,

an

d an

y ot

her

law

s an

d re

gula

tions

re

lating

to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

ap

ply

to a

Par

ty a

nd,

if ap

plic

able

, th

e gu

idan

ce

and

code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

viso

ry a

utho

rity

;

[th

e E

xter

nal

Fu

nd

ing

: an

y fu

ndin

g or

as

sist

ance

pr

ovid

ed

for

the

Proj

ect

or t

o a

Part

y fo

r us

e in

the

Pro

ject

by

any

third

pa

rty,

in

clud

ing

any

stat

e or

pu

blic

bo

dy;]

[th

e Fi

eld

: [i

nser

t bu

sine

ss a

rea]

;]

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

[th

e Fu

nd

ing

Bo

dy:

[i

nser

t de

tails

of

the

body

whi

ch i

s to

pro

vide

th

e Ex

tern

al F

undi

ng;]

[th

e Fu

nd

ing

Co

nd

itio

ns:

th

e te

rms

on w

hich

the

Fun

ding

Bod

y pr

ovid

es

any

Exte

rnal

Fu

ndin

g,

a co

py

of

whi

ch

is

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;]

the

Go

od

Dat

a M

anag

emen

t P

ract

ices

:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

a G

rou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pe

rson

whi

ch a

lso

Con

trol

s th

e Col

labo

rato

r;

Inte

llect

ual

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uation

s,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e Col

labo

rato

r’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

Kn

ow

-ho

w:

unpa

tent

ed

tech

nica

l in

form

atio

n (i

nclu

ding

in

form

atio

n re

latin

g to

in

vent

ions

, di

scov

erie

s,

conc

epts

, m

etho

dolo

gies

, m

odel

s,

rese

arch

, de

velo

pmen

t an

d te

stin

g pr

oced

ures

, th

e re

sults

of

exp

erim

ents

, te

sts

and

tria

ls,

man

ufac

turing

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l da

ta,

anal

yses

, re

port

s an

d su

bmis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

: th

e In

stitu

tion

or

the

Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

the

Pro

ject

Per

iod

: th

e pe

riod

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of th

is

Agr

eem

ent

[and

un

der

any

Fund

ing

Con

dition

s];

the

Res

ult

s:

all

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n

243

whi

ch t

hey

are

disc

lose

d or

sto

red)

ide

ntifi

ed o

r fir

st r

educ

ed t

o pr

actic

e or

writin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

th

e Te

rrit

ory

: [w

orld

wid

e] O

R [

inse

rt g

eogr

aphi

cal a

rea]

;

a V

aria

tio

n A

gre

emen

t:

a w

ritt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.

2 Th

e he

adin

gs in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct

its c

onst

ruct

ion

or in

terp

reta

tion.

1.

3 Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

. 1.

4 A r

efer

ence

in t

his

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as

amen

ded,

ex

tend

ed

or

re-e

nact

ed

from

tim

e to

tim

e an

d in

clud

es

all

subo

rdin

ate

legi

slat

ion

mad

e fr

om t

ime

to t

ime

unde

r th

at s

tatu

te o

r st

atut

ory

prov

isio

n.

1.5

A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l. 1.

6 A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce

to t

hat

othe

r ag

reem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss in

br

each

of

this

Agr

eem

ent)

fro

m t

ime

to t

ime.

1.

7 Ref

eren

ces

in t

his

Agr

eem

ent

to c

laus

es a

nd S

ched

ules

are

to

the

clau

ses

and

Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing

, in

clu

de

or

in

par

ticu

lar,

or

any

sim

ilar

expr

essi

on,

are

to b

e co

nstr

ued

as i

llust

rative

and

do

not

limit

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

. 1.

9 Th

e ac

ts a

nd o

mis

sion

s of

its

Gro

up C

ompa

nies

are

dee

med

to

be w

ithin

the

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol a

nd t

he a

cts

and

omis

sion

s of

any

con

trac

tor

are

deem

ed

to b

e w

ithin

the

con

trol

of th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

. [1

.10

Wor

ds a

nd p

hras

es d

efin

ed i

n th

e Fu

ndin

g C

ondi

tions

and

not

def

ined

in

this

Agr

eem

ent

have

the

mea

ning

giv

en t

o th

em in

the

Fun

ding

Con

ditio

ns w

hen

used

in

thi

s Agr

eem

ent.

1.

11

If t

here

is

any

conf

lict

betw

een

the

term

s of

thi

s Agr

eem

ent

and

the

Fund

ing

Con

ditio

ns,

this

Agr

eem

ent

will

pre

vail

in r

elat

ion

to t

he a

rran

gem

ents

as

betw

een

the

Part

ies,

but

it

will

not

affec

t th

e Pa

rtie

s' r

espe

ctiv

e ob

ligat

ions

to

the

Fund

ing

Bod

y un

der

the

Fund

ing

Con

ditio

ns.]

2.

TH

E P

RO

JEC

T 2.

1 Th

e Pr

ojec

t [w

ill b

egin

on]

OR

[be

gan

on]

the

Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il [t

he e

arlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he P

roje

ct o

r an

y la

ter

date

agr

eed

in w

riting

bet

wee

n th

e Pa

rtie

s,

or u

ntil

this

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If

this

Agr

eem

ent

is

ente

red

into

af

ter

the

Com

men

cem

ent

Dat

e,

it w

ill

appl

y re

tros

pect

ivel

y to

w

ork

carr

ied

out

in re

latio

n to

the

Pro

ject

on

or af

ter

the

Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in

the

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

are

des

igna

ted

as it

s re

spon

sibi

lity

in t

he

Proj

ect

Plan

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

[t

he P

rinc

ipal

Inv

estig

ator

] O

R [

the

Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

the

Loc

atio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill o

btai

n an

d m

aint

ain

all

regu

lato

ry

and

ethi

cal l

icen

ces,

con

sent

s an

d ap

prov

als

nece

ssar

y to

allo

w it

to

carr

y ou

t th

e ta

sks

allo

tted

to

it in

the

Pro

ject

Pla

n an

d w

ill c

arry

out

the

Pro

ject

in

acco

rdan

ce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

und

er o

r pu

rsua

nt t

o th

is

Agr

eem

ent.

2.

4 Ea

ch o

f th

e Pa

rtie

s w

ill e

nsur

e th

at it

s em

ploy

ees

and

stud

ents

(if

any)

invo

lved

in

the

Proj

ect:

ob

serv

e th

e co

nditi

ons

atta

chin

g to

an

y re

gula

tory

an

d et

hica

l lic

ence

s, co

nsen

ts an

d ap

prov

als;

ke

ep co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct

and

of a

ll Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

co

unte

rsig

ned

by a

n em

ploy

ee o

f th

at P

arty

who

is n

ot a

mem

ber

of t

he r

esea

rch

team

bu

t w

ho

unde

rsta

nds

the

wor

k;

and

com

ply

with

th

e G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

staf

f an

d st

uden

ts (

if an

y) (

incl

udin

g in

the

ca

se o

f th

e Col

labo

rato

r, a

ny s

taff

of

any

Gro

up C

ompa

ny)

invo

lved

in t

he P

roje

ct,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Pa

rty’

s he

alth

an

d sa

fety

an

d se

curity

po

licie

s an

d pr

oced

ures

an

d,

whe

n ac

cess

ing

or u

sing

the

oth

er P

arty

’s i

nfor

mat

ion

syst

ems,

com

ply

with

the

oth

er

Part

y’s

info

rmat

ion

secu

rity

pol

icie

s an

d pr

oced

ures

. 2.

6 [[

The

Inst

itutio

n] O

R [

Each

of

the

Part

ies]

will

com

ply

with

Sch

edul

e 7.

[At

any

time

during

the

Pro

ject

Per

iod,

the

Col

labo

rato

r m

ay r

equi

re c

hang

es t

o Pa

rt 3

of

Sch

edul

e 7,

w

here

suc

h ch

ange

s ar

e ne

cess

ary

to e

nsur

e th

at th

e Pr

ojec

t is

un

dert

aken

in

co

mpl

ianc

e w

ith

the

Col

labo

rato

r’s

appl

icab

le

polic

ies

and

proc

edur

es.]

] 2.

7 Alth

ough

[th

e In

stitu

tion

] O

R [

each

of

the

Part

ies]

will

use

rea

sona

ble

ende

avou

rs

to c

arry

out

the

Pro

ject

in

acco

rdan

ce w

ith t

he P

roje

ct P

lan,

[th

e In

stitu

tion

does

no

t un

dert

ake]

OR

[ne

ither

Par

ty u

nder

take

s] t

hat

any

rese

arch

will

lea

d to

any

pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

O

R [E

ach

of t

he P

artie

s] w

ill p

rovi

de [

the

Col

labo

rato

r] O

R

[oth

er Pa

rty]

w

ith [m

onth

ly][

annu

al]

OR

[q

uart

erly

] re

port

s su

mm

aris

ing

the

prog

ress

of

the

Proj

ect

and

a co

py o

f al

l of

the

Res

ults

. 2.

9 [T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify t

he [

Col

labo

rato

r] O

R [

othe

r]

prom

ptly

aft

er i

dent

ifyin

g an

y Res

ult

whi

ch [

the

Inst

itutio

n] O

R [

it] b

elie

ves

is

pate

ntab

le,

and

will

sup

ply

the

[Col

labo

rato

r] O

R [

othe

r] w

ith c

opie

s of

tha

t Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

244

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its

cons

titut

ion,

an

d ha

s ta

ken

all

nece

ssar

y ac

tions

an

d ob

tain

ed

all

auth

oris

atio

ns,

licen

ces,

con

sent

s an

d ap

prov

als,

to

allo

w i

t to

ent

er i

nto

and

perf

orm

thi

s Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Fun

ding

Con

ditio

ns].

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal

or c

hem

ical

] m

ater

ial

to t

he o

ther

Pa

rty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

se

para

te

Mat

eria

ls

Tran

sfer

Agr

eem

ent

ente

red

into

be

twee

n th

e Pa

rtie

s in

re

latio

n to

tha

t m

ater

ial.

[2.1

2 If

the

Fun

ding

Con

ditio

ns h

ave

not

alre

ady

been

acc

epte

d by

the

Par

ties,

thi

s Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e Fu

ndin

g Con

ditio

ns

with

in [

30]

days

aft

er t

he d

ate

of t

he F

undi

ng C

ondi

tions

or

offe

r to

pro

vide

Ex

tern

al F

undi

ng.]

[2.1

3 Ea

ch o

f th

e Pa

rtie

s w

ill:

2.13

.1 if

it

is a

par

ty t

o th

e Fu

ndin

g Con

dition

s, c

ompl

y w

ith its

obl

igat

ions

und

er

the

Fund

ing

Con

ditio

ns;

2.13

.2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he F

undi

ng C

ondi

tions

; an

d

2.13

.3 n

otify

the

oth

er P

arty

in

acco

rdan

ce w

ith c

laus

e 10

.1 i

mm

edia

tely

if

it re

ceiv

es a

ny n

otic

e or

req

uest

fro

m t

he F

undi

ng B

ody.

]

2.16

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

[an

d th

e Fu

ndin

g Bod

y]

and

unle

ss t

he a

dditi

onal

per

son,

the

Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.FI

NA

NC

IAL

CO

NTR

IBU

TIO

N [

AN

D E

XT

ERN

AL

FUN

DIN

G]

3.1

[The

allo

catio

n of

the

Ext

erna

l Fun

ding

will

be

as s

et o

ut in

the

Pro

ject

Pla

n un

less

th

e Pa

rtie

s un

anim

ousl

y ag

ree

othe

rwis

e in

w

riting

.]

[Eac

h Pa

rty

will

ke

ep

com

plet

e an

d ac

cura

te

acco

unts

of

its

ex

pend

iture

on

th

e Pr

ojec

t.]

The

Col

labo

rato

r w

ill p

ay t

he F

inan

cial

Con

trib

utio

n to

the

Ins

titut

ion

in a

ccor

danc

e w

ith S

ched

ule

1 w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt b

y th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

be

ing

clai

med

ag

ains

t co

sts

and

expe

nses

in

curr

ed

by

the

Inst

itutio

n, e

ach

invo

ice

mus

t be

acc

ompa

nied

by

a st

atem

ent

cert

ified

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.2

Unl

ess

any

VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is A

gree

men

t ar

e ex

clus

ive

of V

AT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fr

om t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to an

y ot

her

righ

t or

re

med

y av

aila

ble

to th

e In

stitu

tion,

th

e In

stitu

tion

may

ch

arge

in

tere

st

(bot

h be

fore

an

d af

ter

any

judg

emen

t) o

n th

e am

ount

out

stan

ding

, on

a d

aily

bas

is [

at t

he r

ate

of [

four

] pe

r ce

nt p

er a

nnum

abo

ve t

he L

ondo

n 3

mon

th I

nter

bank

Off

er R

ate

from

tim

e to

tim

e in

for

ce]

OR

[in

acc

orda

nce

with

the

Lat

e Pa

ymen

ts o

f Com

mer

cial

Deb

ts

(Int

eres

t)

Act

19

98

as am

ende

d by

th

e La

te

Paym

ent

of Com

mer

cial

D

ebts

Reg

ulat

ions

201

3].

Tha

t in

tere

st w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or las

t da

te f

or

paym

ent

to

the

actu

al

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e,

and

will

be

co

mpo

unde

d qu

arte

rly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itutio

n on

dem

and.

3.4

[Exc

ept

as s

et o

ut i

n th

e Pr

ojec

t Pl

an,]

the

Ins

titut

ion

will

ow

n al

l eq

uipm

ent

purc

hase

d or

con

stru

cted

by

it, o

r fo

r it,

usi

ng t

he F

inan

cial

Con

trib

utio

n [o

r an

y Ex

tern

al F

undi

ng].

4.U

SE

AN

D E

XP

LOIT

ATI

ON

OF

INTE

LLEC

TUA

L P

RO

PER

TY R

IGH

TS

4.1

This

Agr

eem

ent

does

not

affec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

da

ta,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. T

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

th

em t

o th

e Pr

ojec

t (o

r its

lic

enso

rs).

N

o lic

ence

to

use

any

Inte

llect

ual Pr

oper

ty

Rig

hts

is g

rant

ed o

r im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.2

Each

Par

ty g

rant

s th

e ot

her

a ro

yalty

-fre

e, f

ully

pai

d-up

, no

n-ex

clus

ive

licen

ce t

o us

e its

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

N

eith

er P

arty

may

gr

ant

any

sub-

licen

ce t

o us

e th

e ot

her's

Bac

kgro

und

exce

pt t

hat

the

Col

labo

rato

r m

ay a

llow

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he

Col

labo

rato

r or

any

Gro

up C

ompa

ny,

to u

se t

he I

nstit

utio

n's

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

4.3

The

Inst

itutio

n w

ill o

wn

the

Inte

llect

ual P

rope

rty

Rig

hts

in t

he R

esul

ts a

nd,

subj

ect

to t

he I

nstit

utio

n’s

oblig

atio

ns i

n cl

ause

4.7

.4,

may

tak

e su

ch s

teps

as

it m

ay

deci

de f

rom

tim

e to

tim

e, a

t its

exp

ense

, to

reg

iste

r an

d m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

tak

ing

any

reas

onab

le a

ctio

n in

re

spec

t of

any

alle

ged

or a

ctua

l inf

ring

emen

t of

any

Int

elle

ctua

l Pro

pert

y Rig

hts

in

the

Res

ults

.

4.4

The

Col

labo

rato

r w

ill e

nsur

e th

at its

em

ploy

ees

and

thos

e of

any

Gro

up C

ompa

ny

invo

lved

in t

he c

reat

ion

of t

he R

esul

ts g

ive

the

Inst

itutio

n su

ch a

ssis

tanc

e (e

xcep

t fin

anci

al a

ssis

tanc

e) a

s th

e In

stitu

tion

may

rea

sona

bly

requ

est

in c

onne

ctio

n w

ith

the

regi

stra

tion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

any

act

ion

in r

espe

ct o

f an

y al

lege

d or

act

ual

infr

inge

men

t of

any

In

telle

ctua

l Pro

pert

y Rig

hts

in a

ny o

f th

e Res

ults

.

4.5

Whe

re a

ny t

hird

par

ty s

uch

as a

stu

dent

or

cont

ract

or is

or h

as b

een

invo

lved

in

the

Proj

ect,

the

Par

ty e

ngag

ing

that

thi

rd p

arty

will

ens

ure

that

tha

t th

ird

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all r

ight

s w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts in

ord

er t

o be

abl

e to

giv

e ef

fect

to

the

prov

isio

ns o

f th

is c

laus

e 4.

4.6

The

Inst

itutio

n gr

ants

to

the

Col

labo

rato

r a

non-

excl

usiv

e, i

ndef

inite

, [f

ully

pai

d-up

, ro

yalty

fre

e] lic

ence

(w

ith t

he r

ight

to

sub-

licen

se t

o an

y G

roup

Com

pany

and

to

an

y pe

rson

w

orki

ng

for,

or

on

be

half

of,

the

Col

labo

rato

r or

an

y G

roup

Com

pany

, bu

t on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

hat

wor

k, a

nd o

ther

wis

e w

ithou

t th

e righ

t to

sub

-lic

ense

) to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

for

any

pur

pose

[w

ithin

the

Fie

ld]

in t

he T

errito

ry.

4.7.

1 Th

e In

stitu

tion

and

the

Col

labo

rato

r w

ill,

if th

e Col

labo

rato

r gi

ves

the

Inst

itutio

n w

ritt

en n

otic

e (a

n O

pti

on

No

tice

) at

any

tim

e du

ring

the

Pro

ject

Per

iod

plus

a

furt

her

[6]

OR

[12

] m

onth

s (t

oget

her

calle

d th

e O

pti

on

Per

iod),

neg

otia

te t

he

term

s on

whi

ch t

he I

nstit

utio

n w

ill a

ssig

n to

the

Col

labo

rato

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

cer

tain

of

the

Res

ults

(th

e A

ssig

nm

ent)

. [T

he A

ssig

nmen

t m

ay b

e m

ade

by t

he I

nstit

utio

n’s

subs

idia

ry c

ompa

ny,

[XYZ

] Li

mite

d.]

245

4.7.

2 Fo

llow

ing

the

Inst

itutio

n’s

rece

ipt

of a

n O

ptio

n N

otic

e, t

he P

artie

s w

ill n

egot

iate

in

good

fai

th,

for

a pe

riod

of

up t

o [9

0 da

ys]

OR

[6

mon

ths]

aft

er t

he d

ate

of r

ecei

pt

of t

he O

ptio

n N

otic

e (t

he

Neg

oti

atio

n P

erio

d)

an a

gree

men

t fo

r th

e As

sign

men

t.

[The

Ass

ignm

ent

will

inc

lude

, w

ithou

t lim

itation

, te

rms

base

d on

the

pro

visi

ons

of

Sch

edul

e 8.

] If

the

Par

ties

are

unab

le t

o ag

ree

the

term

s of

the

Ass

ignm

ent

with

in

the

Neg

otia

tion

Period

, th

e Col

labo

rato

r’s

right

s un

der

clau

ses

4.7.

1, 4

.7.3

and

4.

7.4

(but

not

the

lice

nce

in c

laus

e 4.

6) w

ill la

pse.

4.7.

3 Th

e In

stitu

tion

will

no

t,

during

th

e O

ptio

n Pe

riod

or

the

Neg

otia

tion

Period

, ne

gotia

te w

ith a

ny t

hird

par

ty w

ith a

vie

w t

o gr

anting

a li

cenc

e to

use

the

Res

ults

or

ass

igni

ng t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts n

or g

rant

a l

icen

ce t

o us

e th

e Res

ults

or

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts t

o an

y th

ird

part

y.

D

urin

g th

e [3

][6]

O

R

[12]

m

onth

s fo

llow

ing

the

end

of

the

Neg

otia

tion

Period

, th

e In

stitu

tion

will

not

gra

nt a

lic

ence

of

any

Res

ult

or a

ssig

n th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

any

Res

ult

to a

ny t

hird

par

ty o

n an

y te

rms

mor

e fa

vour

able

tha

n th

ose

offe

red

to t

he C

olla

bora

tor

purs

uant

to

this

cla

use

4.7.

4.7.

4 U

ntil

the

end

of t

he O

ptio

n Pe

riod

and

, if

the

Col

labo

rato

r gi

ves

the

Opt

ion

Not

ice

until th

e ea

rlie

r of

the

end

of

Neg

otia

tion

Period

and

the

gra

nt o

f th

e Li

cenc

e, t

he

Inst

itutio

n w

ill

cons

ult

with

th

e Col

labo

rato

r ab

out

mak

ing

pate

nt

or

othe

r ap

plic

atio

ns in

res

pect

of

the

Res

ults

. I

f, d

urin

g th

e N

egot

iation

Per

iod,

the

Col

labo

rato

r w

ishe

s th

e In

stitu

tion

to a

pply

for

any

pat

ent

or o

ther

pro

tect

ion

in

rela

tion

to a

ny o

f th

e Res

ults

, th

e Col

labo

rato

r w

ill r

eim

burs

e to

the

Ins

titut

ion

the

reas

onab

le c

osts

and

exp

ense

s in

curr

ed b

y th

e In

stitu

tion

sin

ce t

he d

ate

of t

his

Agr

eem

ent

in

rela

tion

to

the

filin

g an

d pr

osec

utio

n of

th

at

pate

nt

or

othe

r ap

plic

atio

n,

incl

udin

g pa

tent

ag

ents

' fe

es,

as a

resu

lt of

an

y re

ques

t by

th

e Col

labo

rato

r to

app

ly f

or,

or t

o m

aint

ain,

any

pat

ent

or o

ther

pro

tect

ion

of a

ny

Res

ult.

If

the

Inst

itutio

n la

ter

licen

ses

or a

ssig

ns t

o a

third

part

y th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

for

whi

ch t

he C

olla

bora

tor

has

paid

any

suc

h co

sts

and

expe

nses

, th

e In

stitu

tion

will

re-

imbu

rse

thos

e co

sts

and

expe

nses

to

the

Col

labo

rato

r.

4.8

Des

pite

the

pro

visi

ons

of c

laus

e 4.

7 or

any

ass

ignm

ent

purs

uant

to

clau

se 4

.7,

the

Inst

itutio

n an

d ea

ch

empl

oyee

an

d st

uden

t of

th

e In

stitu

tion

will

ha

ve

the

irre

voca

ble,

ro

yalty

-fre

e righ

t to

us

e th

e Res

ults

fo

r Aca

dem

ic an

d Res

earc

h Pu

rpos

es,

incl

udin

g [(

afte

r th

e Col

labo

rato

r’s

righ

ts u

nder

cla

use

4.7

have

laps

ed,

but

not

in

any

othe

r ca

se)]

re

sear

ch

proj

ects

w

hich

ar

e ca

rrie

d ou

t by

th

e In

stitu

tion

with

any

thi

rd p

arty

[in

the

com

mer

cial

sec

tor]

[an

d Clin

ical

Pat

ient

Car

e].

5.A

CA

DE

MIC

PU

BLI

CA

TIO

N A

ND

IM

PA

CT

5.1

The

Proj

ect

is u

nder

take

n by

the

Ins

titut

ion

in p

ursu

ance

of

a pr

imar

y ch

arita

ble

purp

ose

of t

he I

nstit

utio

n; t

hat

is t

he a

dvan

cem

ent

of e

duca

tion

thro

ugh

teac

hing

an

d re

sear

ch.

Ther

efor

e, n

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t,

any

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n (i

n ea

ch c

ase

whe

ther

or

not

invo

lved

in

the

Pro

ject

) m

ay,

prov

ided

the

Ins

titut

ion

has

not

rece

ived

a C

onfid

entia

lity

Not

ice

unde

r cl

ause

5.2

:

5.1.

1 di

scus

s w

ork

unde

rtak

en a

s pa

rt o

f th

e Pr

ojec

t in

Ins

titut

ion

sem

inar

s,

tuto

rial

s an

d le

ctur

es;

and

5.1.

2 Pu

blis

h an

y Bac

kgro

und

of t

he C

olla

bora

tor

or a

ny o

f th

e Res

ults

.

5.2

The

Inst

itution

will

sub

mit

to t

he C

olla

bora

tor,

in

writing

, de

tails

of

any

of t

he

Res

ults

and

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

ny e

mpl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

date

of

the

prop

osed

sub

mis

sion

for

Pub

licat

ion.

Th

e Col

labo

rato

r m

ay,

by g

ivin

g w

ritt

en n

otic

e to

the

Ins

titut

ion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Col

labo

rato

r's

reas

onab

le o

pini

on,

that

del

ay is

nece

ssar

y in

ord

er t

o se

ek

pate

nt o

r ot

her

prot

ectio

n fo

r an

y of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny

of t

he R

esul

ts o

r in

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

re t

o be

Pu

blis

hed;

or

5.2.

2 pr

even

t th

e Pu

blic

atio

n of

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch i

s Con

fiden

tial In

form

atio

n an

d w

hich

can

not

be p

rote

cted

by

pate

nt o

r ot

her

Inte

llect

ual Pr

oper

ty R

ight

reg

istr

atio

n [o

r w

hich

may

be

prot

ecte

d in

tha

t w

ay b

ut w

hich

the

Col

labo

rato

r ha

s ch

osen

not

to

prot

ect

in t

hat

way

].

The

Col

labo

rato

r m

ust

give

tha

t Con

fiden

tial

ity N

otic

e w

ithin

[15

] O

R [

30]

days

af

ter

the

Col

labo

rato

r re

ceiv

es

deta

ils

of

the

prop

osed

Pu

blic

atio

n.

If

th

e In

stitu

tion

does

no

t re

ceiv

e a

Con

fiden

tialit

y N

otic

e w

ithin

th

at

period

, th

e pr

opos

ed

Publ

icat

ion

may

pr

ocee

d,

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch i

s th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

and

whi

ch m

ay

not

be P

ublis

hed

unle

ss t

he C

olla

bora

tor

has

give

n its

writt

en c

onse

nt t

o th

at

Publ

icat

ion]

.

5.3

The

Col

labo

rato

r ac

know

ledg

es

that

th

e In

stitu

tion

is

re

quired

by

its

fu

nder

s to

dem

onst

rate

the

Ins

titut

ion’

s im

pact

on

soci

ety

and

agre

es t

o pr

ovid

e to

the

Ins

titut

ion

any

info

rmat

ion

whi

ch t

he I

nstit

utio

n re

ason

ably

req

uest

s in

or

der

to a

llow

it

to d

emon

stra

te t

hat

impa

ct p

rovi

ded

that

, un

der

or p

ursu

ant

to

this

cla

use:

the

Ins

titut

ion

will

not

be

entit

led

to r

ecei

ve o

r di

sclo

se a

ny o

f th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

or

any

info

rmat

ion

whi

ch

iden

tifie

s or

al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pur

suan

t to

thi

s cl

ause

will

be

gene

ral i

n na

ture

..

6.C

ON

FID

ENT

IALI

TY

6.1

[With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Fun

ding

Con

ditio

ns,]

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

pa

rty,

nor

use

for

any

pur

pose

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t,

any

of t

he o

ther

Par

ty's

Con

fiden

tial

Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of

the

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial or

not

to

disc

lose

it

to a

ny

othe

r pa

rty

to t

he e

xten

t th

at:

6.2.

1 if

it is

rec

eive

d fr

om t

he o

ther

Par

ty,

it is

kno

wn

to t

he R

ecip

ient

or

any

Gro

up C

ompa

ny (

dem

onst

rabl

e by

writt

en r

ecor

ds)

befo

re its

rec

eipt

fro

m

the

othe

r Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

ential

ity

to t

he o

ther

Par

ty;

6.2.

2 it

is o

r be

com

es p

ublic

ly k

now

n w

ithou

t an

y br

each

of

this

Agr

eem

ent

or

any

othe

r un

dert

akin

g to

kee

p it

conf

iden

tial

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

entia

lity

owed

to

the

othe

r Pa

rty;

246

6.2.

4 it

has

been

in

depe

nden

tly

deve

lope

d by

th

e Rec

ipie

nt

or

any

Gro

up

Com

pany

with

out

refe

renc

e to

the

oth

er P

arty

’s C

onfid

ential

Inf

orm

atio

n;

6.2.

5 it

is

disc

lose

d pu

rsua

nt

to

the

requ

irem

ent

of

any

law

or

re

gula

tion

(pro

vide

d, in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of In

form

atio

n Act

20

00 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, no

ne o

f th

e ex

cept

ions

to

that

Ac

t or

tho

se Reg

ulat

ions

ap

plie

s to

th

e in

form

atio

n di

sclo

sed)

or

purs

uant

to

the

ord

er o

f an

y Cou

rt o

f co

mpe

tent

jur

isdi

ctio

n or

the

req

uire

men

t of

any

com

pete

nt r

egul

ator

y au

thor

ity,

and

that

, in

ea

ch

case

w

here

th

e la

w

perm

its,

the

Part

y re

quired

to

m

ake

that

di

sclo

sure

has

inf

orm

ed t

he o

ther

, w

ithin

a r

easo

nabl

e tim

e af

ter

bein

g re

quired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t to

dis

clos

e an

d th

e in

form

atio

n re

quired

to

be d

iscl

osed

; or

6.2.

6 it

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.3

The

Inst

itutio

n w

ill

not

be

in

brea

ch

of

any

oblig

atio

n to

ke

ep

any

of

the

Col

labo

rato

r's

Bac

kgro

und

or i

nfor

mat

ion,

con

fiden

tial

or n

ot t

o di

sclo

se i

t to

any

th

ird

part

y, b

y:

6.3.

1 [e

xcep

t in

re

latio

n to

th

e Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

] Pu

blis

hing

an

y of

th

em

if th

e In

stitu

tion

has

follo

wed

the

pro

cedu

re i

n cl

ause

5.2

and

has

rec

eive

d no

Con

fiden

tialit

y N

otic

e w

ithin

the

per

iod

stat

ed in

tha

t cl

ause

; or

6.3.

2 m

akin

g th

em a

vaila

ble

to a

ny s

tude

nt o

f th

e In

stitu

tion

who

nee

ds t

o kn

ow

them

in

orde

r to

exe

rcis

e th

e rig

hts

gran

ted

in t

his

Agr

eem

ent,

pro

vide

d th

ey a

re n

ot u

sed

exce

pt a

s ex

pres

sly

perm

itted

by

this

Agr

eem

ent

and

the

stud

ent

unde

rtak

es t

o ke

ep t

hat

Bac

kgro

und

and

info

rmat

ion

conf

iden

tial

.

6.6

The

Col

labo

rato

r w

ill no

t be

in

br

each

of

an

y ob

ligat

ion

to ke

ep an

y of

th

e In

stitu

tion'

s Bac

kgro

und,

Res

ults

or

ot

her

info

rmat

ion

conf

iden

tial

or

no

t to

di

sclo

se

them

to

an

y th

ird

part

y,

by

mak

ing

them

av

aila

ble

to

any

Gro

up

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

the

Col

labo

rato

r or

any

Gro

up

Com

pany

, w

ho n

eeds

to

know

the

sam

e in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

th

is A

gree

men

t, p

rovi

ded

they

are

not

use

d ex

cept

as

expr

essl

y pe

rmitt

ed b

y th

is

Agr

eem

ent

and

the

reci

pien

t un

dert

akes

to

keep

the

m c

onfid

ential

.

6.5

[Nei

ther

Par

ty w

ill b

e in

bre

ach

of a

ny o

blig

atio

n to

kee

p an

y of

the

oth

er P

arty

’s

Con

fiden

tial

Info

rmat

ion,

con

fiden

tial

or

not

to d

iscl

ose

it to

any

thi

rd p

arty

by

disc

losi

ng it

to

the

Fund

ing

Bod

y in

acc

orda

nce

with

the

Fun

ding

Con

ditio

ns.]

6.6

If t

he I

nstit

utio

n re

ceiv

es a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 to

di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n, i

t w

ill n

otify

the

Col

labo

rato

r an

d w

ill c

onsu

lt w

ith t

he

Col

labo

rato

r pr

ompt

ly a

nd b

efor

e m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or

thos

e Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

an

d w

ill n

otify

the

Col

labo

rato

r of

the

int

ende

d re

spon

se t

o th

at r

eque

st.

The

Col

labo

rato

r w

ill r

espo

nd t

o th

e In

stitu

tion

with

in 1

0 da

ys a

fter

rec

eivi

ng t

he

Inst

itutio

n’s

notic

e if

that

not

ice

requ

ests

the

Col

labo

rato

r to

pro

vide

inf

orm

atio

n to

ass

ist

the

Inst

itutio

n to

det

erm

ine

whe

ther

or

not

an e

xem

ptio

n to

the

Fre

edom

of

In

form

atio

n Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

20

04

appl

ies

to t

he i

nfor

mat

ion

requ

este

d un

der

that

Act

or

thos

e Reg

ulat

ions

. Th

e Col

labo

rato

r m

ay

mak

e re

pres

enta

tions

in

re

latio

n to

th

at

requ

est

and

the

prop

osed

res

pons

e an

d m

ay r

eque

st a

men

dmen

ts t

o th

e pr

opos

ed r

espo

nse.

[At

the

Col

labo

rato

r’s

requ

est,

exc

ept

in o

rder

to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

th

e In

form

atio

n Com

mis

sion

er

or

the

Info

rmat

ion

Trib

unal

, th

e In

stitu

tion

will

not

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

in

resp

onse

to

a

requ

est

unde

r th

e Fr

eedo

m o

f In

form

atio

n Act

200

0 or

the

Env

iron

men

tal

Info

rmat

ion

Reg

ulat

ions

20

04 p

rovi

ded

that

:

6.6.

1 th

e Col

labo

rato

r m

akes

th

at

requ

est

in

writin

g w

ithin

10

da

ys

afte

r re

ceiv

ing

the

Inst

itution

’s n

otic

e gi

ven

unde

r th

is c

laus

e 6.

6; a

nd

6.6.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

P

arti

es),

an

d ke

eps

them

fu

lly

and

effe

ctiv

ely

inde

mni

fied,

ag

ains

t ea

ch

and

ever

y cl

aim

m

ade

agai

nst

any

of

the

Inde

mni

fied

Part

ies

as a

res

ult

of t

he I

nstit

utio

n no

t m

akin

g an

y di

sclo

sure

of

th

e Col

labo

rato

r’s

Con

fiden

tial

info

rmat

ion

in re

spon

se to

a

requ

est

unde

r th

e Fr

eedo

m

of

Info

rmat

ion

Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4.]

6.7

Nei

ther

Par

ty w

ill u

se t

he o

ther

’s n

ame

or t

he n

ame

of a

ny o

f th

e Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

log

o in

any

pre

ss r

elea

se o

r pr

oduc

t ad

vert

isin

g, o

r fo

r an

y ot

her

prom

otio

nal pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y’s

writt

en c

onse

nt.

6.8

[Not

with

stan

ding

an

y ot

her

prov

isio

n of

th

is

Agr

eem

ent,

th

e In

stitu

tion

may

id

entif

y th

e su

ms

rece

ived

fro

m t

he C

olla

bora

tor

in t

he I

nstit

utio

n’s

Ann

ual R

epor

t an

d si

mila

r pu

blic

atio

ns][

, an

d th

e Col

labo

rato

r m

ay,

in o

rder

to

com

ply

with

any

tr

ansp

aren

cy r

epor

ting

oblig

atio

ns t

o w

hich

it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.LI

MIT

AT

ION

OF

LIA

BIL

ITY

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

em

ploy

ees

invo

lved

in

the

Proj

ect

or l

ikel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed i

n th

e Pr

ojec

t],

but

not

havi

ng m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r),

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

st

uden

ts

who

w

ork

on

the

Proj

ect,

or

th

e co

nten

t or

us

e of

an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ection

with

the

Pr

ojec

t, w

ill n

ot c

onst

itute

or

resu

lt in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

OR

7.1

Nei

ther

of

the

Part

ies

[exc

ept

unde

r cl

ause

7.1

0] m

akes

any

rep

rese

ntat

ion

or

give

s an

y w

arra

nty

to t

he o

ther

tha

t an

y ad

vice

or

info

rmat

ion

give

n by

it o

r an

y of

its

em

ploy

ees

or s

tude

nts

who

wor

k or

hav

e w

orke

d on

the

Pro

ject

, or

the

co

nten

t or

use

of

any

Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

co

nnec

tion

with

th

e Pr

ojec

t,

will

no

t co

nstit

ute

or

resu

lt in

an

y in

frin

gem

ent

of t

hird

-par

ty r

ight

s.

7.2

Exce

pt u

nder

the

war

rant

[y][

ies]

in

clau

se[s

] [7

.1 a

nd]

7.10

and

the

ind

emni

ties

in c

laus

es [

6.6,

]7.

3 an

d 7.

4, a

nd s

ubje

ct t

o cl

ause

7.8

, ne

ither

Par

ty a

ccep

ts a

ny

liabi

lity

or r

espo

nsib

ility

for

any

use

whi

ch m

ay b

e m

ade

by t

he o

ther

Par

ty o

f an

y of

the

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

the

Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

.

247

7.3

Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] (

the

Ind

emn

ifyi

ng

P

arty

) w

ill i

ndem

nify

the

oth

er P

arty

, an

d its

em

ploy

ees

and

stud

ents

(to

geth

er

the

Ind

emn

ifie

d

Par

ties

), an

d ke

ep th

em f

ully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

re

sult

of t

he I

ndem

nify

ing

Part

y's

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

and

any

m

ater

ials

, w

orks

or

info

rmat

ion

rece

ived

fro

m a

n In

dem

nifie

d Pa

rty

purs

uant

to

this

Agr

eem

ent,

pro

vide

d th

at t

he I

ndem

nifie

d Pa

rty

mus

t:

7.3.

1 pr

ompt

ly n

otify

the

Ind

emni

fyin

g Pa

rty

of d

etai

ls o

f th

e cl

aim

;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te its

los

ses

and

expe

nses

aris

ing

from

the

cl

aim

;

7.3.

4 al

low

th

e In

dem

nify

ing

Part

y to

ha

ve th

e co

nduc

t of

th

e de

fenc

e an

d se

ttle

men

t of

the

cla

im;

and

7.3.

4 gi

ve t

he I

ndem

nify

ing

Part

y al

l rea

sona

ble

assi

stan

ce (

at t

he I

ndem

nify

ing

Part

y’s

expe

nse)

in d

ealin

g w

ith t

he c

laim

.

The

inde

mni

ty in

this

cla

use

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, its

de

liber

ate

brea

ch o

f th

is A

gree

men

t or

its

kno

win

g in

frin

gem

ent

of a

ny t

hird

pa

rty’

s In

telle

ctua

l Pr

oper

ty R

ight

s or

its

kno

win

g br

each

of

any

third

part

y’s

righ

ts o

f co

nfid

ence

.

7.4

Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all

cost

s, c

laim

s, d

eman

ds,

expe

nses

an

d lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

it o

f Sch

edul

e 6.

7.5

Sub

ject

to

clau

ses

7.7

and

7.8,

and

exc

ept

unde

r th

e in

dem

nitie

s in

cla

uses

[6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

thi

s Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot e

xten

d to

:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; or

7.5.

2 an

y lo

ss of

pr

ofits

, lo

ss o

f re

venu

e, lo

ss of

da

ta,

loss

of

con

trac

ts o

r op

port

unity

, w

heth

er d

irec

t or

indi

rect

,

even

if

the

Part

y br

ingi

ng t

he c

laim

has

adv

ised

the

oth

er o

f th

e po

ssib

ility

of

thos

e lo

sses

, or

if t

hey

wer

e w

ithin

the

oth

er P

arty

's c

onte

mpl

atio

n.

7.6

Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

oth

er

for

all a

nd a

ny b

reac

hes

of t

his

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er

way

out

of

the

subj

ect

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill

not

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n][t

he p

ortio

n of

the

Ext

erna

l Fun

ding

al

loca

ted

to t

hat

Part

y] O

R [

£ins

ert

figur

e].

7.7

Sub

ject

in

each

cas

e to

cla

use

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

ot

her:

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

;

7.7.

2 un

der

the

inde

mni

ty in

clau

se 7

.4 w

ill n

ot e

xcee

d in

tot

al £

[ins

ert

figur

e];

and

[7.7

.3 f

or a

ll an

d an

y br

each

es o

f th

e Fu

ndin

g Con

ditio

ns w

ill n

ot e

xcee

d in

tot

al

[the

am

ount

of

the

Exte

rnal

Fun

ding

]]

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

that

, by

law

, ca

nnot

be

limite

d or

ex

clud

ed;

7.8.

4 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.9

The

expr

ess

unde

rtak

ings

and

war

rant

ies

give

n by

the

Par

ties

in t

his

Agr

eem

ent

are

in li

eu o

f al

l oth

er w

arra

ntie

s, c

ondi

tions

, te

rms,

und

erta

king

s an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on la

w,

cust

om,

trad

e us

age,

cou

rse

of d

ealin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

.

7.10

[A

ny a

ssig

nmen

t of

Int

elle

ctua

l Pr

oper

ty R

ight

s m

ade

purs

uant

to

clau

se 4

.7 w

ill

be

mad

e w

ith

full

title

gu

aran

tee.

] O

R

[The

In

stitu

tion

war

rant

s to

th

e Col

labo

rato

r in

rel

atio

n to

any

ass

ignm

ent

of I

ntel

lect

ual P

rope

rty

Rig

hts

mad

e by

it

purs

uant

to

clau

se 4

.7 t

hat:

7.10

.1 it

has

the

rig

ht t

o di

spos

e of

tho

se I

ntel

lect

ual Pr

oper

ty R

ight

s an

d th

at it

will

, at

its

ow

n co

st,

do a

ll th

at i

t re

ason

ably

can

to

give

the

titl

e w

hich

it

purp

orts

to

give

; an

d

7.10

.1 t

hat

the

Inte

llect

ual P

rope

rty

Rig

hts

assi

gned

are

fre

e fr

om a

ll ch

arge

s an

d en

cum

bran

ces

and

right

s of

any

thi

rd p

arty

(ex

cept

tho

se o

f w

hich

the

In

stitu

tion

is u

naw

are

or o

f w

hich

it c

ould

not

rea

sona

bly

be a

war

e).]

8.FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

dela

yed

or p

reve

nted

by

circ

umst

ance

s be

yond

its

rea

sona

ble

cont

rol,

that

Par

ty w

ill n

ot b

e in

bre

ach

of t

his

Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce l

asts

mor

e th

an [

3] O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith

imm

edia

te e

ffec

t by

gi

ving

writt

en no

tice

to t

he P

arty

w

hose

pe

rfor

man

ce is

de

laye

d or

pre

vent

ed.

9.TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

the

oth

er P

arty

if t

he o

ther

Par

ty:

9.1.

1 is

in

brea

ch o

f an

y pr

ovis

ion

of t

his

Agr

eem

ent

and

(if

it is

cap

able

of

rem

edy)

the

bre

ach

has

not

been

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

af

ter

rece

ipt

of

writt

en

notic

e sp

ecify

ing

the

brea

ch

and

requ

irin

g its

re

med

y;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

248

is a

ppoi

nted

ove

r th

e w

hole

or

any

part

of

the

othe

r pa

rty'

s as

sets

, or

if

the

othe

r pa

rty

mak

es a

ny a

rran

gem

ent

with

its

cred

itors

; or

9.1.

3 co

mm

its a

ny b

reac

h of

Sch

edul

e 5

[or

Sch

edul

e 7]

.

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Pro

ject

. W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

w

ho or

igin

ally

ap

poin

ted

that

m

embe

r of

th

e Key

Pe

rson

nel

will

no

min

ate

a su

cces

sor.

Th

e ot

her

Part

y w

ill n

ot u

nrea

sona

bly

refu

se t

o ac

cept

the

nom

inat

ed

succ

esso

r, b

ut if

the

succ

esso

r is

not

acc

epta

ble

to t

he o

ther

Par

ty o

n re

ason

able

gr

ound

s, o

r if

the

appo

into

r ca

nnot

fin

d a

succ

esso

r, e

ither

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t by

giv

ing

the

othe

r no

t le

ss t

han

[3]

mon

ths'

not

ice.

9.5

[The

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time

prov

ided

th

e Col

labo

rato

r co

mpl

ies

with

cl

ause

s 9.

6 an

d 9.

7,

by gi

ving

no

t le

ss

than

[3

] m

onth

s' n

otic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

(su

bjec

t to

cla

use

9.5)

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

, 9.

8 an

d 10

w

ill s

urvi

ve t

he c

ompl

etio

n of

the

Pro

ject

or

the

term

inat

ion

of t

his

Agr

eem

ent

for

any

reas

on a

nd w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct i

ndef

inite

ly o

r, i

n th

e ca

se o

f cl

ause

6, in

acc

orda

nce

with

cla

use

6.1.

9.5

On

the

term

inat

ion

of t

his

Agr

eem

ent

unde

r cl

ause

s 8.

9.1

, 9.

2 or

9.3

all

righ

ts

and

licen

ces

gran

ted

by o

ne P

arty

to

the

othe

r Pa

rty

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

will

aut

omat

ical

ly t

erm

inat

e ex

cept

:

9.5.

1 an

y righ

ts t

o us

e an

y Res

ults

or

Bac

kgro

und

for

Acad

emic

and

Res

earc

h Pu

rpos

es;

9.5.

2 an

y righ

t to

Pub

lish

in a

ccor

danc

e w

ith c

laus

e 5;

and

9.5.

3 if

the

Col

labo

rato

r te

rmin

ates

thi

s Agr

eem

ent

in a

ccor

danc

e w

ith c

laus

e 9.

1,

the

licen

ce g

rant

ed t

o th

e Col

labo

rato

r un

der

clau

se 4

.6 w

ill s

urvi

ve t

he

term

inat

ion

of t

his

Agr

eem

ent

and

will

con

tinue

inde

finite

ly.

9.6

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

bef

ore

term

inat

ion

[and

not

cov

ered

by

the

Exte

rnal

Fun

ding

]. I

f te

rmin

atio

n oc

curs

pu

rsua

nt

to

clau

se 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

w

hich

th

e In

stitu

tion

has

incu

rred

or

agre

ed t

o in

cur

and

whi

ch t

he I

nstit

utio

n is

una

ble

to c

ance

l.

9.9

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

[by

the

Inst

itution

] un

der

clau

se 9

.1

or 9

.2 [

or b

y th

e Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n is

in

tend

ed t

o co

ver

the

cost

s of

em

ploy

ing

any

Inst

itution

sta

ff i

nvol

ved

in t

he

Proj

ect,

the

Col

labo

rato

r w

ill c

ontin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

th

e ac

tual

direc

t em

ploy

men

t co

sts

of s

taff

who

wer

e ap

poin

ted

by t

he I

nstit

utio

n to

w

ork

on

the

Proj

ect

befo

re

the

serv

ice

of

the

notic

e,

prov

ided

th

at

the

Inst

itutio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

con

tinu

e un

til

the

effe

ctiv

e da

te o

f te

rmin

atio

n of

eac

h st

aff

cont

ract

or

the

date

on

whi

ch t

he P

roje

ct w

as t

o ha

ve e

nded

(w

hich

ever

is

the

earlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

inc

lude

a p

ropo

rtio

n of

any

red

unda

ncy

cost

s w

hich

ha

ve b

een

incu

rred

by

the

Inst

itutio

n as

a d

irec

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

th

at

prop

ortio

n to

be

ca

lcul

ated

by

di

vidi

ng

the

indi

vidu

al’s

in

volv

emen

t in

the

Pro

ject

by

the

dura

tion

of h

is p

erio

d of

em

ploy

men

t by

the

In

stitu

tion.

9.8

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hol e

of

th

at co

ntribu

tion

has

not,

by

th

e en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

pur

pose

s fo

r w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GEN

ERA

L

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

writing

, m

ust

be d

eliv

ered

to

the

othe

r Pa

rty

by a

ny o

f th

e m

etho

ds s

et o

ut i

n th

e le

ft h

and

colu

mn

belo

w,

and

will

be

deem

ed t

o be

rec

eive

d on

the

cor

resp

ondi

ng d

ay s

et

out

in t

he r

ight

han

d co

lum

n:

Met

ho

d o

f se

rvic

e

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

the

day

of d

eliv

ery

By

pre-

paid

first

cla

ss p

ost

the

seco

nd B

usin

ess

Day

aft

er p

ostin

g

By

reco

rded

del

iver

y po

st

the

next

Bus

ines

s D

ay a

fter

pos

ting

The

Part

ies'

res

pect

ive

repr

esen

tativ

es f

or t

he r

ecei

pt o

f no

tices

are

, un

til c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

For

the

Inst

itu

tio

n:

For

the

Co

llab

ora

tor:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it

, w

ithou

t fir

st o

btai

ning

the

writt

en c

onse

nt

of t

he o

ther

Par

ty[,

exc

ept

that

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a

who

le t

o a

Gro

up C

ompa

ny w

ithou

t th

e co

nsen

t of

the

Ins

titut

ion]

. N

eith

er P

arty

w

ill u

nrea

sona

bly

with

hold

or

dela

y its

con

sent

.

10.3

Il

leg

al/

un

enfo

rcea

ble

pro

visi

on

s:

If t

he w

hole

or

any

part

of

any

prov

isio

n of

th

is A

gree

men

t is

voi

d or

une

nfor

ceab

le in

any

jur

isdi

ctio

n, t

he o

ther

pro

visi

ons

of

this

Agr

eem

ent,

and

the

res

t of

the

voi

d or

une

nfor

ceab

le p

rovi

sion

, w

ill c

ontinu

e in

for

ce in

that

jur

isdi

ctio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on in

any

othe

r ju

risd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

the

oth

er p

arty

, or

fai

ls t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

con

stitu

te a

wai

ver

of t

hat

righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a f

utur

e oc

casi

on.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em of

pr

inci

pal

and

agen

t. N

eith

er Pa

rty

has

any

auth

ority

to

m

ake

any

repr

esen

tatio

n or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

[and

the

Fun

ding

Con

dition

s] c

onst

itute

[s]

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to i

ts s

ubje

ct m

atte

r.

Each

249

Part

y ac

know

ledg

es t

hat

it ha

s no

t en

tere

d in

to t

his

Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t, a

gree

men

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch P

arty

wai

ves

any

clai

m f

or b

reac

h of

th

is

Agr

eem

ent,

or

an

y righ

t to

re

scin

d th

is

Agr

eem

ent

in

resp

ect

of

any

repr

esen

tatio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

liab

ility

whi

ch e

ither

Par

ty m

ay h

ave

to t

he o

ther

(o

r an

y righ

t w

hich

eith

er P

arty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in r

espe

ct o

f an

y fr

audu

lent

mis

repr

esen

tatio

n or

fra

udul

ent

conc

ealm

ent

befo

re t

he s

igni

ng o

f th

is A

gree

men

t.

10.7

Fo

rmal

itie

s:

Each

Pa

rty

will

ta

ke

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly r

equi

red

by t

he o

ther

Par

ty t

o gi

ve e

ffec

t to

any

of

its r

ight

s un

der

this

Agr

eem

ent,

or

to e

nabl

e th

eir

regi

stra

tion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit c

onfe

rred

by

this

Agr

eem

ent,

unl

ess

this

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

un

der

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Ag

reem

ent

and

any

disp

ute

or cl

aim

(i

nclu

ding

no

n-co

ntra

ctua

l dis

pute

s or

cla

ims)

arisi

ng o

ut o

f or

in c

onne

ctio

n w

ith it

or

its s

ubje

ct

mat

ter

or f

orm

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch

has

aris

en o

r m

ay a

rise

out

of,

or

in c

onne

ctio

n w

ith,

this

Agr

eem

ent,

exc

ept

that

a

Part

y m

ay

brin

g pr

ocee

ding

s to

pr

otec

t its

In

telle

ctua

l Pr

oper

ty

Rig

hts

or

Con

fiden

tial

Inf

orm

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny is

sue

conc

erni

ng

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne p

arty

has

not

ified

the

oth

er

of t

hat

issu

e, t

hey

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

In

stitu

tion,

and

to

[ins

ert

offic

er]

in t

he c

ase

of t

he C

olla

bora

tor

in a

n at

tem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pr

ocee

ding

s in

acc

orda

nce

with

cla

use

10.1

0 if

the

mat

ter

has

not

been

res

olve

d w

ithin

tha

t [1

4] d

ay p

erio

d, a

nd e

ither

Par

ty m

ay b

ring

pro

ceed

ings

to

prot

ect

its

Inte

llect

ual

Prop

erty

R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

iction

, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

.

10.1

2 A

nti

-Bri

ber

y: E

ach

part

y w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 5.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch p

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

6.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

If

tha

t m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

orig

inal

of

the

exec

uted

cou

nter

part

as

soon

as

poss

ible

.

[10.

15 E

xpo

rt

Co

ntr

ol:

ea

ch

Part

y w

ill

com

ply

with

ap

plic

able

U

K

expo

rt

cont

rol

legi

slat

ion

and

regu

lation

s. E

ach

Part

y w

ill c

ompl

y w

ith t

he s

peci

fic c

ondi

tions

of

any

US e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in

writing

and

whi

ch a

re a

pplic

able

to

it.]

SIG

NED

fo

r an

d on

be

half

of

the

Inst

itutio

n:

Nam

e

Posi

tion

Sig

natu

re

SIG

NED

fo

r an

d on

be

half

of

the

Col

labo

rato

r:

Nam

e

Posi

tion

Sig

natu

re

[Rea

d an

d un

ders

tood

by

the

Prin

cipa

l Rea

d an

d un

ders

tood

by

the

Inve

stig

ator

:Col

labo

rato

r’s

Sup

ervi

sor:

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

. Sig

natu

reSig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e]

250

SC

HED

ULE

1

Th

e Fi

nan

cial

Co

ntr

ibu

tio

n

SC

HED

ULE

2

The

Pro

ject

Pla

n

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Loca

tio

n

Bac

kg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Task

s to

be

carr

ied

ou

t b

y ea

ch P

arty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cilit

ies

and

eq

uip

men

t ea

ch P

arty

is t

o p

rovi

de

Res

ult

s A

nti

cip

ated

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s

251

[SC

HED

ULE

3

The

Fun

din

g C

on

dit

ion

s]

SC

HED

ULE

4

Goo

d D

ata

Man

agem

ent

Pra

ctic

es

1.Res

earc

h da

ta

mus

t be

ge

nera

ted

usin

g so

und

scie

ntifi

c te

chni

ques

an

dpr

oces

ses;

2.Res

earc

h da

ta m

ust

be a

ccur

atel

y re

cord

ed i

n ac

cord

ance

with

goo

d sc

ient

ific

prac

tices

by

the

peop

le c

ondu

ctin

g th

e re

sear

ch;

3.Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in a

ccor

danc

ew

ith g

ood

scie

ntifi

c pr

actic

es;

4.Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.D

ata

trai

ls m

ust

be k

ept

to a

llow

peo

ple

to d

emon

stra

te e

asily

and

to

reco

nstr

uct

key

deci

sion

s m

ade

during

the

con

duct

of th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.Ea

ch P

arty

has

the

rig

ht,

on n

ot l

ess

than

[30

] da

ys w

ritt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

esan

d pr

oced

ures

.

252

SC

HED

ULE

5

A

nti

-Bri

ber

y

1.

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

1.

1 co

mpl

y w

ith a

ll la

ws,

sta

tute

s an

d re

gula

tions

whi

ch a

pply

to

it or

its

ac

tiviti

es an

d w

hich

re

late

to

an

ti-br

iber

y or

an

ti-co

rrup

tion

(o

r bo

th),

in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

the

Brib

ery

Act

201

0 if

it ha

d be

en c

arried

out

in t

he U

nite

d K

ingd

om;

1.

3 ha

ve

polic

ies

and

proc

edur

es

(inc

ludi

ng

adeq

uate

pr

oced

ures

as

de

term

ined

in

acco

rdan

ce w

ith s

ectio

n 7(

2) o

f th

e Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed u

nder

sec

tion

9 of

tha

t Act

) to

ens

ure

com

plia

nce

with

pa

ragr

aphs

1.1

and

1.2

abo

ve;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 1

.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er p

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.

7 ke

ep a

ccur

ate

and

up t

o da

te r

ecor

ds a

nd b

ooks

of

acco

unt

show

ing

all

paym

ents

mad

e by

it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to c

ompl

y w

ith t

his

Sch

edul

e su

ffic

ient

to

enab

le

the

othe

r pa

rty

to v

erify

com

plia

nce

with

thi

s Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

co

mpl

ianc

e w

ith t

his

Sch

edul

e.);

and

1.

8 on

req

uest

dur

ing

norm

al w

orki

ng h

ours

, al

low

the

oth

er P

arty

acc

ess

to

and

to c

opy

thos

e re

cord

s an

d ac

coun

ts a

nd t

o m

eet

with

its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.

Ea

ch Pa

rty

will

en

sure

th

at an

y pe

rson

as

soci

ated

w

ith it

(as

dete

rmin

ed

in

acco

rdan

ce w

ith s

ectio

n 8

of t

he B

ribe

ry A

ct 2

010

and

para

grap

h 4

belo

w)

who

is

invo

lved

in

the

Proj

ect,

is

invo

lved

in

the

Proj

ect

only

on

the

basi

s of

a w

ritt

en

cont

ract

whi

ch im

pose

s on

tha

t pe

rson

ter

ms

equi

vale

nt t

o th

ose

impo

sed

on t

hat

Part

y in

thi

s Sch

edul

e.

3.

Each

Par

ty w

ill e

nsur

e th

at e

ach

pers

on r

efer

red

to in

par

agra

ph 2

abo

ve c

ompl

ies

with

ter

ms

equi

vale

nt t

o th

e te

rms

impo

sed

by t

his

Sch

edul

e, a

nd w

ill b

e lia

ble

to

the

othe

r Pa

rty

for

any

brea

ch b

y th

at p

erso

n of

any

of

thos

e te

rms.

4.

A p

erso

n as

soci

ated

with

a p

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

co

mpa

nies

and

sub

cont

ract

ors

and

thei

r re

spec

tive

empl

oyee

s.

SC

HED

ULE

6

D

ata

Pro

tect

ion

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l Dat

a on

beh

alf

of t

he o

ther

Pa

rty

(th

e D

ata

Co

ntr

olle

r),

the

prov

isio

ns o

f th

is S

ched

ule

will

app

ly.

1.

The

Part

y w

hich

car

ries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at

Pers

onal

D

ata

in

acco

rdan

ce

with

th

e D

ata

Prot

ectio

n Le

gisl

atio

n, a

ffor

ding

to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

w

ould

ha

ve

wer

e th

eir

Pers

onal

D

ata

bein

g Pr

oces

sed

by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly i

n ac

cord

ance

with

the

Dat

a Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riate

to

ensu

re

the

secu

rity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’ r

eque

sts

for

acce

ss t

o, in

form

atio

n ab

out,

and

the

rec

tific

atio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

en

quiry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al D

ata

bein

g Pr

oces

sed

for

the

Dat

a Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

th

at

requ

est

or

enqu

iry

as

the

Dat

a Con

trol

ler

may

re

ason

ably

re

ques

t,

and

not

resp

ond

to

any

such

re

ques

t or

en

quiry

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph

1 ab

ove,

an

d w

ill

give

th

e D

ata

Con

trol

ler

any

assi

stan

ce

whi

ch

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(a

nd n

ot d

efin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in

the

Dat

a Pr

otec

tion

Legi

slat

ion.

253

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar

to

refle

ct

any

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

th

e D

ata

Con

trol

ler,

not

with

stan

ding

the

ter

min

atio

n of

thi

s Agr

eem

ent

or t

he

com

plet

ion

of t

he P

roje

ct.

6.

The

Dat

a Pr

oces

sor

will

in

dem

nify

th

e D

ata

Con

trol

ler

and

keep

th

e D

ata

Con

trol

ler

fully

and

eff

ectiv

ely

inde

mni

fied

on d

eman

d ag

ains

t al

l co

sts,

cla

ims,

de

man

ds,

expe

nses

and

lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

the

Dat

a Pr

oces

sor

of t

his

Sch

edul

e.

OR

W

here

bot

h Pa

rtie

s de

term

ine

the

purp

ose

of t

he P

roce

ssin

g in

res

pect

of

any

Pers

onal

D

ata

whi

ch is

Pro

cess

ed in

the

cou

rse

of o

r fo

r th

e pu

rpos

e of

the

Pro

ject

, th

e pr

ovis

ions

of

thi

s Sch

edul

e w

ill a

pply

.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch it

Pro

cess

es

in c

onne

ctio

n w

ith t

he P

roje

ct.

It w

ill:

1.1

Proc

ess

that

Per

sona

l Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riate

to

ensu

re

the

secu

rity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.

4 gi

ve th

e ot

her

Part

y su

ch

info

rmat

ion

and

assi

stan

ce as

it

reas

onab

ly

requ

ires

in

orde

r to

ena

ble

the

othe

r Pa

rty

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

par

ticul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o,

info

rmat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er p

arty

suc

h as

sist

ance

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

it m

ay r

easo

nabl

y re

ques

t;

1.

6 no

tify

the

othe

r Pa

rty

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

par

ty’s

writt

en c

onse

nt.

2.

Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l re

ason

able

tim

es t

o in

spec

t an

d re

view

th

e st

eps

bein

g ta

ken

by i

t to

com

ply

with

par

agra

ph 1

abo

ve,

and

will

giv

e th

e ot

her

Part

y an

y as

sist

ance

whi

ch i

t re

ason

ably

req

uire

s w

ith t

hat

insp

ectio

n an

d re

view

. 3.

All

expr

essi

ons

in p

arag

raph

1, 2

, 4,

5 o

r 6

begi

nnin

g w

ith a

cap

ital l

ette

r (a

nd n

ot

defin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in t

he D

ata

Prot

ectio

n Le

gisl

atio

n.

4.

Th

e pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

th

e ot

her

Part

y,

notw

ithst

andi

ng

the

term

inat

ion

of

this

Agr

eem

ent

or

the

com

plet

ion

of t

he P

roje

ct.

254

[SC

HE

DU

LE 7

]

Par

t 1

- H

um

an R

igh

ts

1.U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

perf

orm

ance

of th

is A

gree

men

t:

1.23

no

t em

ploy

, en

gage

or

use

any

child

lab

our

in c

ircu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.24

no

t us

e fo

rced

la

bour

in

an

y fo

rm

(priso

n,

inde

ntur

ed,

bond

ed

or

othe

rwis

e);

1.25

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.26

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

and

if

any

acco

mm

odat

ion

is p

rovi

ded

by t

hat

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe f

or h

abita

tion

;

1.27

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re to

its

em

ploy

ees

in t

he e

vent

of ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

;

1.28

no

t di

scrim

inat

e ag

ains

t an

y em

ploy

ee on

an

y gr

ound

(i

nclu

ding

ra

ce,

relig

ion,

dis

abili

ty o

r ge

nder

);

1.29

no

t en

gage

in o

r su

ppor

t th

e us

e of

cor

pora

l pun

ishm

ent,

men

tal,

phys

ical

, se

xual

or

verb

al a

buse

;

1.30

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.31

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

th

e pr

evai

ling

indu

stry

wag

e, (

whi

chev

er i

s th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.32

co

mpl

y w

ith t

he l

aws

on w

orki

ng h

ours

and

em

ploy

men

t righ

ts i

n th

e co

untr

ies

in w

hich

it o

pera

tes;

and

1.33

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

inde

pend

ent

trad

e un

ions

and

fr

eedo

m o

f as

soci

atio

n.

2.Ea

ch P

arty

agr

ees

that

it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

ndth

at it

will

enc

oura

ge c

ompl

ianc

e w

ith e

thic

al s

tand

ards

and

hum

an r

ight

s by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by it

whe

n pe

rfor

min

g its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal

with

any

bre

ache

s of

thos

e po

licie

s.

Par

t 2

– A

nti

-Sla

very

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

19.

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es a

ndw

hich

rel

ate

to a

nti-

slav

ery

and

hum

an t

raff

icki

ng,

incl

udin

g t

he M

oder

n Sla

very

Act

201

5;

20.

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

4 M

oder

nSla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

21.

have

and

mai

ntai

n its

ow

n po

licie

s an

d pr

oced

ures

to

ensu

re c

ompl

ianc

e w

ithpa

ragr

aphs

1 a

nd 2

abo

ve;

22.

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 3

abo

ve;

23.

incl

ude

in i

ts c

ontr

acts

with

its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

dhu

man

tra

ffic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of t

his

Sch

edul

e;

24.

prom

ptly

rep

ort

to t

he o

ther

Par

ty a

ny b

reac

h of

thi

s se

ctio

n of

thi

s Sch

edul

e of

whi

ch it

bec

omes

aw

are;

25.

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e as

the

othe

r Pa

rty

may

rea

sona

bly

requ

est

from

tim

e to

tim

e;

26.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

sSch

edul

e.);

and

27.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

the

rec

ords

ref

erre

d to

in p

arag

raph

8 a

bove

and

to

mee

t w

ith its

per

sonn

elto

ver

ify c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e.

[Par

t 3

– t

he

Co

llab

ora

tor’

s P

olic

ies

and

Pro

ced

ure

s

Each

Par

ty w

ill c

ompl

y w

ith t

he f

ollo

win

g:

[Ins

ert

deta

ils]]

255

[SC

HED

ULE

8

A

gre

ed A

ssig

nm

ent

Ter

ms

Th

e Ass

igne

d Res

ults

: Te

rrito

ry:

Fiel

d:

Paym

ent

Term

s:

Targ

ets:

Rev

ersi

on o

f Rig

hts:

]

Dat

ed _

____

____

____

____

____

____

201[

]

(1)

[IN

SER

T N

AM

E]

(2

) [I

NS

ERT

NA

ME]

M

OD

EL

CO

LLA

BO

RA

TIO

N A

GR

EEM

ENT

4

S

cen

ario

- T

he

Col

lab

ora

tor

own

s th

e R

esu

lts

and

Inst

itu

tion

has

th

e ri

ght

to u

se t

he

Res

ult

s fo

r A

cade

mic

an

d R

esea

rch

Pu

rpos

es.

Aca

dem

ic P

ub

licat

ion

is p

erm

itte

d.

256

Lam

bert

Col

labo

ration

Agr

eem

ent

5 (F

inal

)

THIS

AG

REE

MEN

T d

ated

[…

……

……

……

……

……

……

……

…..

] 2

01[]

is m

ade

BET

WEE

N:

(1)

[IN

SER

T

NA

ME]

, w

hose

ad

min

istr

ativ

e of

fices

ar

e at

[i

nser

t ad

dres

s]

(th

e In

stit

uti

on

); a

nd

(2)

[IN

SER

T N

AM

E] [

LIM

ITED

] O

R [

PLC

], [

[a c

ompa

ny r

egis

tere

d in

[En

glan

d]

unde

r nu

mbe

r [i

nser

t nu

mbe

r],

who

se r

egis

tere

d of

fice

is a

t [i

nser

t ad

dres

s of

re

gist

ered

of

fice]

] O

R [[

inse

rt st

atus

of

th

e Col

labo

rato

r, e.

g. N

HS Tr

ust]

of

[i

nser

t ad

dres

s of

princ

ipal

offic

e]]

(th

e C

olla

bo

rato

r)

BA

CK

GR

OU

ND

The

part

ies

to t

his

Agr

eem

ent

wis

h to

col

labo

rate

on

a re

sear

ch p

roje

ct e

ntitl

ed "

[ins

ert

nam

e of

pro

ject

]".

[The

Tec

hnol

ogy

Str

ateg

y Boa

rd h

as a

nnou

nced

its

int

entio

n to

mak

e a

gran

t in

res

pect

of

tha

t pr

ojec

t, s

ubje

ct t

o th

e te

rms

of t

he o

ffer

let

ter

refe

rred

to

belo

w,

and

subj

ect

to

the

part

ies

ente

ring

into

an

agre

emen

t go

vern

ing

thei

r co

llabo

ratio

n.]

This

Agr

eem

ent

gove

rns

the

part

ies’

col

labo

ratio

n in

rel

atio

n to

tha

t pr

ojec

t.

4.

DE

FIN

ITIO

NS

AN

D I

NTE

RP

RE

TATI

ON

1.

1 In

thi

s Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

A

cad

emic

Pu

bli

cati

on

: th

e pu

blic

atio

n of

an

abst

ract

, ar

ticle

or

pape

r in

a

jour

nal

or

an

elec

tron

ic

repo

sito

ry,

or

its

pres

enta

tion

at a

con

fere

nce

or s

emin

ar;

and

in

clau

ses

5 an

d 6

to P

ub

lish

and

Pu

bli

cati

on

are

to

be

cons

true

d a

s m

eani

ng s

uch

publ

icat

ion;

Aca

dem

ic

and

R

esea

rch

P

urp

ose

s:

rese

arch

[(

exce

pt

[ins

ert

any

exce

ptio

ns])

, te

achi

ng[,

and

] ed

ucat

ion[

and

Clin

ical

Pat

ient

Car

e];

th

is A

gre

emen

t:

this

do

cum

ent,

in

clud

ing

its

Sch

edul

es,

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

B

ack

gro

un

d:

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

inve

ntio

ns,

disc

over

ies,

sof

twar

e an

d m

ater

ials

(r

egar

dles

s of

the

for

m o

r m

ediu

m in

whi

ch t

hey

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

this

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mon

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

[C

linic

al P

atie

nt

Car

e:

any

of t

he f

ollo

win

g: d

iagn

osin

g, t

reat

ing

and

man

agin

g th

e he

alth

of

a pe

rson

und

er t

he c

are

of a

thi

rd p

arty

med

ical

pra

ctiti

oner

who

has

the

righ

t to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y of

the

Res

ults

;]

the

Co

llab

ora

tor'

s S

up

ervi

sor:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Co

mm

ence

men

t D

ate:

[i

nser

t th

e da

te

on

whi

ch

the

Proj

ect

is

to

star

t/st

arte

d];

C

on

fid

enti

al I

nfo

rmat

ion

: a

Part

y’s

conf

iden

tial

in

form

atio

n is

: an

y Bac

kgro

und

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in t

he P

roje

ct [

and

iden

tifie

d as

co

nfid

ential

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in

the

Proj

ect

or

unde

r th

is

Agr

eem

ent

[and

ide

ntifi

ed a

s co

nfid

ential

bef

ore

or

at

the

time

of

disc

losu

re

or w

hich

, by

its

na

ture

or

fr

om

the

circ

umst

ance

s of

its

di

sclo

sure

, sh

ould

rea

sona

bly

be p

resu

med

to

be

conf

iden

tial

];

C

on

tro

l:

the

abili

ty t

o di

rect

the

aff

airs

of

anot

her

pers

on,

whe

ther

by

virt

ue o

f th

e ow

ners

hip

of s

hare

s, b

y co

ntra

ct,

or in

any

oth

er w

ay;

th

e D

ata

Pro

tect

ion

Le

gis

lati

on

w

hile

the

y re

mai

n in

for

ce,

the

Dat

a Pr

otec

tion

Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion,

an

d an

y ot

her

law

s an

d re

gula

tions

re

lating

to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

ap

ply

to a

Par

ty a

nd,

if ap

plic

able

, th

e gu

idan

ce

and

code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

viso

ry a

utho

rity

;

[th

e E

xter

nal

Fu

nd

ing

: an

y fu

ndin

g or

as

sist

ance

pr

ovid

ed

for

the

Proj

ect

or t

o a

Part

y fo

r us

e in

the

Pro

ject

by

any

third

pa

rty,

in

clud

ing

any

stat

e or

pu

blic

bo

dy;]

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

[th

e Fu

nd

ing

Bo

dy:

[i

nser

t de

tails

of

the

body

whi

ch i

s to

pro

vide

th

e Ex

tern

al F

undi

ng;]

[th

e Fu

nd

ing

Co

nd

itio

ns:

th

e te

rms

on w

hich

the

Fun

ding

Bod

y pr

ovid

es

any

Exte

rnal

Fu

ndin

g,

a co

py

of

whi

ch

is

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;]

257

the

Go

od

D

ata

Man

agem

ent

Pra

ctic

es:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

a G

rou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pe

rson

whi

ch a

lso

Con

trol

s th

e Col

labo

rato

r;

In

telle

ctu

al

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uation

s,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e Col

labo

rato

r’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

K

no

w-h

ow

: un

pate

nted

te

chni

cal

info

rmat

ion

(inc

ludi

ng

info

rmat

ion

rela

ting

to

inve

ntio

ns,

disc

over

ies,

co

ncep

ts,

met

hodo

logi

es,

mod

els,

re

sear

ch,

deve

lopm

ent

and

test

ing

proc

edur

es,

the

resu

lts

of e

xper

imen

ts,

test

s an

d tr

ials

, m

anuf

actu

ring

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l da

ta,

anal

yses

, re

port

s an

d su

bmis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

:

the

Inst

itutio

n or

th

e Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

th

e P

roje

ct P

erio

d:

the

period

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of th

is

Agr

eem

ent

[and

un

der

any

Fund

ing

Con

dition

s];

th

e R

esu

lts:

al

l in

form

atio

n,

data

, te

chni

ques

, Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

a

Var

iati

on

Ag

reem

ent:

a

writt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.

2 Th

e he

adin

gs in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct

its c

onst

ruct

ion

or in

terp

reta

tion.

1.

3 Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

. 1.

4 A r

efer

ence

in t

his

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as

amen

ded,

ex

tend

ed

or

re-e

nact

ed

from

tim

e to

tim

e an

d in

clud

es

all

subo

rdin

ate

legi

slat

ion

mad

e fr

om t

ime

to t

ime

unde

r th

at s

tatu

te o

r st

atut

ory

prov

isio

n.

1.5

A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l. 1.

6 A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce

to t

hat

othe

r ag

reem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss in

br

each

of

this

Agr

eem

ent)

fro

m t

ime

to t

ime.

1.

7 Ref

eren

ces

in t

his

Agr

eem

ent

to c

laus

es a

nd S

ched

ules

are

to

the

clau

ses

and

Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing

, in

clu

de

or

in

par

ticu

lar,

or

any

sim

ilar

expr

essi

on,

are

to b

e co

nstr

ued

as i

llust

rative

and

do

not

limit

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

. 1.

9 Th

e ac

ts a

nd o

mis

sion

s of

its

Gro

up C

ompa

nies

are

dee

med

to

be w

ithin

the

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol a

nd t

he a

cts

and

omis

sion

s of

any

con

trac

tor

are

deem

ed

to b

e w

ithin

the

con

trol

of th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

. [1

.10

Wor

ds a

nd p

hras

es d

efin

ed i

n th

e Fu

ndin

g C

ondi

tions

and

not

def

ined

in

this

Agr

eem

ent

have

the

mea

ning

giv

en t

o th

em in

the

Fun

ding

Con

ditio

ns w

hen

used

in

thi

s Agr

eem

ent.

1.

11

If t

here

is

any

conf

lict

betw

een

the

term

s of

thi

s Agr

eem

ent

and

the

Fund

ing

Con

ditio

ns,

this

Agr

eem

ent

will

pre

vail

in r

elat

ion

to t

he a

rran

gem

ents

as

betw

een

the

Part

ies,

but

it

will

not

affec

t th

e Pa

rtie

s' r

espe

ctiv

e ob

ligat

ions

to

the

Fund

ing

Bod

y un

der

the

Fund

ing

Con

ditio

ns.]

2.

TH

E P

RO

JEC

T

258

2.1

The

Proj

ect

[will

beg

in o

n] O

R [

bega

n on

] th

e Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il [t

he e

arlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he P

roje

ct o

r an

y la

ter

date

agr

eed

in w

riting

bet

wee

n th

e Pa

rtie

s,

or u

ntil

this

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If

this

Agr

eem

ent

is

ente

red

into

af

ter

the

Com

men

cem

ent

Dat

e,

it w

ill

appl

y re

tros

pect

ivel

y to

w

ork

carr

ied

out

in re

latio

n to

the

Pro

ject

on

or af

ter

the

Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in

the

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

are

des

igna

ted

as it

s re

spon

sibi

lity

in t

he

Proj

ect

Plan

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

[t

he P

rinc

ipal

Inv

estig

ator

] O

R [

the

Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

the

Loc

atio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill o

btai

n an

d m

aint

ain

all

regu

lato

ry

and

ethi

cal l

icen

ces,

con

sent

s an

d ap

prov

als

nece

ssar

y to

allo

w it

to

carr

y ou

t th

e ta

sks

allo

tted

to

it in

the

Pro

ject

Pla

n an

d w

ill c

arry

out

the

Pro

ject

in

acco

rdan

ce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

und

er o

r pu

rsua

nt t

o th

is

Agr

eem

ent.

2.4

Each

of

the

Part

ies

will

ens

ure

that

its

empl

oyee

s an

d st

uden

ts (

if an

y) in

volv

ed in

th

e Pr

ojec

t:

obse

rve

the

cond

ition

s at

tach

ing

to

any

regu

lato

ry

and

ethi

cal

licen

ces,

co

nsen

ts an

d ap

prov

als;

ke

ep co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct

and

of a

ll Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

co

unte

rsig

ned

by a

n em

ploy

ee o

f th

at P

arty

who

is n

ot a

mem

ber

of t

he r

esea

rch

team

bu

t w

ho

unde

rsta

nds

the

wor

k;

and

com

ply

with

th

e G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

staf

f an

d st

uden

ts (

if an

y) (

incl

udin

g in

the

ca

se o

f th

e Col

labo

rato

r, a

ny s

taff

of

any

Gro

up C

ompa

ny)

invo

lved

in t

he P

roje

ct,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Pa

rty’

s he

alth

an

d sa

fety

an

d se

curity

po

licie

s an

d pr

oced

ures

an

d,

whe

n ac

cess

ing

or u

sing

the

oth

er P

arty

’s i

nfor

mat

ion

syst

ems,

com

ply

with

the

oth

er

Part

y’s

info

rmat

ion

secu

rity

pol

icie

s an

d pr

oced

ures

.

2.6

[[Th

e In

stitu

tion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

ompl

y w

ith S

ched

ule

7. [

At

any

time

during

the

Pro

ject

Per

iod,

the

Col

labo

rato

r m

ay r

equi

re c

hang

es t

o Pa

rt 3

of

Sch

edul

e 7,

w

here

suc

h ch

ange

s ar

e ne

cess

ary

to e

nsur

e th

at th

e Pr

ojec

t is

un

dert

aken

in

co

mpl

ianc

e w

ith

the

Col

labo

rato

r’s

appl

icab

le

polic

ies

and

proc

edur

es.]

]

2.7

Alth

ough

[th

e In

stitu

tion

] O

R [

each

of

the

Part

ies]

will

use

rea

sona

ble

ende

avou

rs

to c

arry

out

the

Pro

ject

in

acco

rdan

ce w

ith t

he P

roje

ct P

lan,

[th

e In

stitu

tion

does

no

t un

dert

ake]

OR

[ne

ither

Par

ty u

nder

take

s] t

hat

any

rese

arch

will

lea

d to

any

pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

O

R [E

ach

of t

he P

artie

s] w

ill p

rovi

de [

the

Col

labo

rato

r] O

R

[oth

er Pa

rty]

w

ith [m

onth

ly][

annu

al]

OR

[q

uart

erly

] re

port

s su

mm

aris

ing

the

prog

ress

of

the

Proj

ect

and

a co

py o

f al

l of

the

Res

ults

.

2.9

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill n

otify

the

[Col

labo

rato

r] O

R [

othe

r]

prom

ptly

aft

er i

dent

ifyin

g an

y Res

ult

whi

ch [

the

Inst

itutio

n] O

R [

it] b

elie

ves

is

pate

ntab

le,

and

will

sup

ply

the

[Col

labo

rato

r] O

R [

othe

r] w

ith c

opie

s of

tha

t Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its

cons

titut

ion,

an

d ha

s ta

ken

all

nece

ssar

y ac

tions

an

d ob

tain

ed

all

auth

oris

atio

ns,

licen

ces,

con

sent

s an

d ap

prov

als,

to

allo

w i

t to

ent

er i

nto

and

perf

orm

thi

s Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Fun

ding

Con

dition

s].

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal

or c

hem

ical

] m

ater

ial

to t

he o

ther

Pa

rty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

se

para

te

Mat

eria

ls

Tran

sfer

Agr

eem

ent

ente

red

into

be

twee

n th

e Pa

rtie

s in

re

latio

n to

tha

t m

ater

ial.

[2.1

2 If

the

Fun

ding

Con

ditio

ns h

ave

not

alre

ady

been

acc

epte

d by

the

Par

ties,

thi

s Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e Fu

ndin

g Con

ditio

ns

with

in [

30]

days

aft

er t

he d

ate

of t

he F

undi

ng C

ondi

tions

or

offe

r to

pro

vide

Ex

tern

al F

undi

ng.]

[2.1

3 Ea

ch o

f th

e Pa

rtie

s w

ill:

2.13

.1 if

it is

a p

arty

to

the

Fund

ing

Con

ditio

ns,

com

ply

with

its

oblig

atio

ns u

nder

, an

d th

e co

nditi

ons

of,

the

Fund

ing

Con

ditio

ns;

2.13

.2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he F

undi

ng C

ondi

tions

; an

d

2.13

.3 n

otify

the

oth

er P

arty

in

acco

rdan

ce w

ith c

laus

e 10

.1 i

mm

edia

tely

if

it re

ceiv

es a

ny n

otic

e or

req

uest

fro

m t

he F

undi

ng B

ody.

]

2.17

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

[an

d th

e Fu

ndin

g Bod

y]

and

unle

ss t

he a

dditi

onal

per

son,

the

Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.FI

NA

NC

IAL

CO

NTR

IBU

TIO

N [

AN

D E

XT

ERN

AL

FUN

DIN

G]

3.1

[The

allo

catio

n of

the

Ext

erna

l Fun

ding

will

be

as s

et o

ut in

the

Pro

ject

Pla

n un

less

th

e Pa

rtie

s un

anim

ousl

y ag

ree

othe

rwis

e in

w

riting

.]

[Eac

h Pa

rty

will

ke

ep

com

plet

e an

d ac

cura

te

acco

unts

of

its

ex

pend

iture

on

th

e Pr

ojec

t.]

The

Col

labo

rato

r w

ill p

ay t

he F

inan

cial

Con

trib

utio

n to

the

Ins

titut

ion

in a

ccor

danc

e w

ith S

ched

ule

1 w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt b

y th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

be

ing

clai

med

ag

ains

t co

sts

and

expe

nses

in

curr

ed

by

the

Inst

itutio

n, e

ach

invo

ice

mus

t be

acc

ompa

nied

by

a st

atem

ent

cert

ified

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.2

Unl

ess

any

VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is A

gree

men

t ar

e ex

clus

ive

of V

AT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fr

om t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to an

y ot

her

righ

t or

re

med

y av

aila

ble

to th

e In

stitu

tion,

th

e In

stitu

tion

may

ch

arge

in

tere

st

(bot

h be

fore

an

d af

ter

any

judg

emen

t) o

n th

e am

ount

out

stan

ding

, on

a d

aily

bas

is [

at t

he r

ate

of [

four

] pe

r ce

nt p

er a

nnum

abo

ve t

he L

ondo

n 3

mon

th I

nter

bank

Off

er R

ate

from

tim

e to

tim

e in

for

ce]

OR

[in

acc

orda

nce

with

the

Lat

e Pa

ymen

ts o

f Com

mer

cial

Deb

ts

(Int

eres

t)

Act

19

98

as am

ende

d by

th

e La

te

Paym

ent

of Com

mer

cial

D

ebts

Reg

ulat

ions

201

3].

Tha

t in

tere

st w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or las

t da

te f

or

paym

ent

to

the

actu

al

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e,

and

will

be

259

com

poun

ded

quar

terly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itutio

n on

dem

and.

3.4

[Exc

ept

as s

et o

ut i

n th

e Pr

ojec

t Pl

an,]

the

Ins

titut

ion

will

ow

n al

l eq

uipm

ent

purc

hase

d or

con

stru

cted

by

it, o

r fo

r it,

usi

ng t

he F

inan

cial

Con

trib

utio

n [o

r an

y Ex

tern

al F

undi

ng].

4.U

SE

AN

D E

XP

LOIT

ATI

ON

OF

INTE

LLEC

TUA

L P

RO

PER

TY R

IGH

TS

4.1

This

Agr

eem

ent

does

not

affec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

da

ta,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. T

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

th

em t

o th

e Pr

ojec

t (o

r its

lic

enso

rs).

N

o lic

ence

to

use

any

Inte

llect

ual Pr

oper

ty

Rig

hts

is g

rant

ed o

r im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.2

Each

Par

ty g

rant

s th

e ot

her

a ro

yalty

-fre

e, f

ully

pai

d-up

, no

n-ex

clus

ive

licen

ce t

o us

e its

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

N

eith

er P

arty

may

gr

ant

any

sub-

licen

ce t

o us

e th

e ot

her's

Bac

kgro

und

exce

pt t

hat

the

Col

labo

rato

r m

ay a

llow

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he

Col

labo

rato

r or

any

Gro

up C

ompa

ny,

to u

se t

he I

nstit

utio

n's

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

4.3

The

Col

labo

rato

r w

ill o

wn

the

Inte

llect

ual P

rope

rty

Rig

hts

in t

he R

esul

ts,

and

may

ta

ke s

uch

step

s as

it m

ay d

ecid

e fr

om t

ime

to t

ime,

at

its e

xpen

se,

to r

egis

ter

and

mai

ntai

n an

y pr

otec

tion

for

the

Inte

llect

ual

Prop

erty

Rig

hts

in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

ta

king

an

y ac

tion

in

resp

ect

of

any

alle

ged

or

actu

al

infr

inge

men

t of

an

y In

telle

ctua

l Pro

pert

y Rig

hts

in t

he R

esul

ts.

4.4

The

Inst

itutio

n w

ill e

nsur

e th

at it

s em

ploy

ees

and

stud

ents

(if

any)

invo

lved

in t

he

crea

tion

of t

he R

esul

ts g

ive

the

Col

labo

rato

r su

ch a

ssis

tanc

e (e

xcep

t fin

anci

al

assi

stan

ce)

as t

he C

olla

bora

tor

may

rea

sona

bly

requ

est

in c

onne

ctio

n w

ith t

he

regi

stra

tion

and

prot

ectio

n of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny o

f th

e Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

an

y ac

tion

in

resp

ect

of

any

alle

ged

or

actu

al

infr

inge

men

t of

an

y In

telle

ctua

l Pro

pert

y Rig

hts

in a

ny o

f th

e Res

ults

.

4.5

Whe

re a

ny t

hird

par

ty s

uch

as a

stu

dent

or

cont

ract

or is

or h

as b

een

invo

lved

in

the

Proj

ect,

the

Par

ty e

ngag

ing

that

thi

rd p

arty

will

ens

ure

that

tha

t th

ird

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all r

ight

s w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts in

ord

er t

o be

abl

e to

giv

e ef

fect

to

the

prov

isio

ns o

f th

is c

laus

e 4.

4.6

To t

he e

xten

t th

at a

ny I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts a

re c

apab

le o

f pr

ospe

ctiv

e as

sign

men

t, t

he I

nstit

utio

n no

w a

ssig

ns t

hose

Int

elle

ctua

l Pr

oper

ty

Rig

hts

to t

he C

olla

bora

tor;

and

to

the

exte

nt a

ny I

ntel

lect

ual

Prop

erty

Rig

hts

in

the

Res

ults

can

not

be a

ssig

ned

pros

pect

ivel

y, t

he I

nstit

utio

n w

ill a

ssig

n th

ose

Inte

llect

ual

Prop

erty

Rig

hts

to t

he C

olla

bora

tor

as a

nd w

hen

they

are

cre

ated

, at

th

e re

ques

t of

the

Col

labo

rato

r.

4.7

[The

Col

labo

rato

r w

ill

prov

ide

the

Inst

itution

w

ith

such

in

form

atio

n as

th

e In

stitu

tion

may

rea

sona

bly

requ

est

from

tim

e to

tim

e to

dem

onst

rate

tha

t th

e Col

labo

rato

r is

exp

loiti

ng o

r is

tak

ing

reas

onab

le s

teps

tow

ards

exp

loiti

ng t

he

Res

ults

. I

f th

e Col

labo

rato

r do

es n

ot d

emon

stra

te t

hat

it is

exp

loiti

ng a

ny o

f th

e Res

ults

or

is t

akin

g re

ason

able

ste

ps t

owar

ds e

xplo

iting

the

m,

the

Col

labo

rato

r

will

, i f

requ

este

d to

do

so b

y th

e In

stitu

tion

, re

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in

thos

e Res

ults

to

th

e In

stitu

tion.

The

Col

labo

rato

r w

ill

notif

y th

e In

stitu

tion

if th

e Col

labo

rato

r de

cide

s no

t to

pro

ceed

with

the

exp

loita

tion

of a

ny

of t

he R

esul

ts a

nd w

ill,

if re

ques

ted

to d

o so

by

the

Inst

itutio

n, r

eass

ign

the

Inte

llect

ual P

rope

rty

Rig

hts

in t

hose

Res

ults

to

the

Inst

itution

.]

4.8

The

Col

labo

rato

r gr

ants

the

Ins

titut

ion

a ro

yalty

-fre

e, n

on-e

xclu

sive

lice

nce

to u

se

the

Res

ults

for

the

pur

pose

of

carr

ying

out

the

Pro

ject

[an

d fo

r Clin

ical

Pat

ient

Car

e] b

ut,

but

(exc

ept

as p

erm

itted

by

clau

se 4

.9)

the

Inst

itutio

n m

ay n

ot g

rant

an

y su

b-lic

ence

to

use

the

Res

ults

.

4.9

Des

pite

th

e pr

ovis

ions

of

cl

ause

4.

6, th

e In

stitu

tion

and

each

em

ploy

ee an

d st

uden

t of

the

Ins

titut

ion

will

hav

e th

e irre

voca

ble,

roy

alty

-fre

e righ

t to

use

the

Res

ults

[(e

xcep

t th

e fo

llow

ing

type

s of

Res

ult:

[in

sert

det

ails

])]

for

Aca

dem

ic a

nd

Res

earc

h Pu

rpos

es[,

incl

udin

g] O

R [

excl

udin

g] r

esea

rch

proj

ects

whi

ch a

re c

arried

ou

t by

the

Ins

titut

ion

with

any

thi

rd p

arty

[in

the

com

mer

cial

sec

tor]

[an

d Clin

ical

Pa

tient

Car

e].

5.A

CA

DE

MIC

PU

BLI

CA

TIO

N A

ND

IM

PA

CT

5.1

The

Proj

ect

is u

nder

take

n by

the

Ins

titut

ion

in p

ursu

ance

of

a pr

imar

y ch

arita

ble

purp

ose

of t

he I

nstit

utio

n; t

hat

is t

he a

dvan

cem

ent

of e

duca

tion

thro

ugh

teac

hing

an

d re

sear

ch.

Ther

efor

e, n

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t,

any

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n (i

n ea

ch c

ase

whe

ther

or

not

invo

lved

in

the

Pro

ject

) m

ay,

prov

ided

the

Ins

titut

ion

has

not

rece

ived

a C

onfid

entia

lity

Not

ice

unde

r cl

ause

5.2

:

5.1.

1 di

scus

s w

ork

unde

rtak

en a

s pa

rt o

f th

e Pr

ojec

t in

Ins

titut

ion

sem

inar

s,

tuto

rial

s an

d le

ctur

es;

and

5.1.

2 Pu

blis

h an

y Bac

kgro

und

of t

he C

olla

bora

tor

or a

ny o

f th

e Res

ults

.

5.2

The

Inst

itution

will

sub

mit

to t

he C

olla

bora

tor,

in

writing

, de

tails

of

any

of t

he

Res

ults

and

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

ny e

mpl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

date

of

the

prop

osed

sub

mis

sion

for

Pub

licat

ion.

Th

e Col

labo

rato

r m

ay,

by g

ivin

g w

ritt

en n

otic

e to

the

Ins

titut

ion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Col

labo

rato

r's

reas

onab

le o

pini

on,

that

del

ay is

nece

ssar

y in

ord

er t

o se

ek

pate

nt o

r ot

her

prot

ectio

n fo

r an

y of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny

of t

he R

esul

ts o

r in

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch a

re t

o be

Pu

blis

hed;

or

5.2.

2 pr

even

t th

e Pu

blic

atio

n of

any

of

the

Col

labo

rato

r's

Bac

kgro

und

whi

ch i

s Con

fiden

tial In

form

atio

n an

d w

hich

can

not

be p

rote

cted

by

pate

nt o

r ot

her

Inte

llect

ual Pr

oper

ty R

ight

reg

istr

atio

n [o

r w

hich

may

be

prot

ecte

d in

tha

t w

ay b

ut w

hich

the

Col

labo

rato

r ha

s ch

osen

not

to

prot

ect

in t

hat

way

].

The

Col

labo

rato

r m

ust

give

tha

t Con

fiden

tial

ity N

otic

e w

ithin

[15

] O

R [

30]

days

af

ter

the

Col

labo

rato

r re

ceiv

es

deta

ils

of

the

prop

osed

Pu

blic

atio

n.

If

th

e In

stitu

tion

does

no

t re

ceiv

e a

Con

fiden

tialit

y N

otic

e w

ithin

th

at

period

, th

e pr

opos

ed

Publ

icat

ion

may

pr

ocee

d,

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch i

s th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

and

whi

ch m

ay

not

be P

ublis

hed

unle

ss t

he C

olla

bora

tor

has

give

n its

writt

en c

onse

nt t

o th

at

Publ

icat

ion]

.

260

5.3

The

Col

labo

rato

r ac

know

ledg

es t

hat

the

Inst

itutio

n is

req

uire

d by

its

fun

ders

to

dem

onst

rate

the

Ins

titut

ion’

s im

pact

on

soci

ety

and

agre

es t

o pr

ovid

e to

the

In

stitu

tion

any

info

rmat

ion

whi

ch t

he I

nstit

utio

n re

ason

ably

req

uest

s in

ord

er t

o al

low

it

to d

emon

stra

te t

hat

impa

ct p

rovi

ded

that

, un

der

or p

ursu

ant

to t

his

clau

se:

the

Inst

itutio

n w

ill

not

be

entit

led

to

rece

ive

or di

sclo

se

any

of th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

or

any

info

rmat

ion

whi

ch

iden

tifie

s or

al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pur

suan

t to

thi

s cl

ause

will

be

gene

ral i

n na

ture

..

6.C

ON

FID

ENT

IALI

TY

6.1

[With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Fun

ding

Con

ditio

ns,]

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

pa

rty,

nor

use

for

any

pur

pose

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t,

any

of t

he o

ther

Par

ty's

Con

fiden

tial

Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of

the

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial or

not

to

disc

lose

it

to a

ny

othe

r pa

rty

to t

he e

xten

t th

at:

6.2.

1 if

it is

rec

eive

d fr

om t

he o

ther

Par

ty,

it is

kno

wn

to t

he R

ecip

ient

or

any

Gro

up C

ompa

ny (

dem

onst

rabl

e by

writt

en r

ecor

ds)

befo

re its

rec

eipt

fro

m

the

othe

r Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

ential

ity

to t

he o

ther

Par

ty;

6.2.

2 it

is o

r be

com

es p

ublic

ly k

now

n w

ithou

t an

y br

each

of

this

Agr

eem

ent

or

any

othe

r un

dert

akin

g to

kee

p it

conf

iden

tial

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

entia

lity

owed

to

the

othe

r Pa

rty;

6.2.

4 it

has

been

in

depe

nden

tly

deve

lope

d by

th

e Rec

ipie

nt

or

any

Gro

up

Com

pany

with

out

refe

renc

e to

the

oth

er P

arty

’s C

onfid

ential

Inf

orm

atio

n;

6.2.

5 it

is

disc

lose

d pu

rsua

nt

to

the

requ

irem

ent

of

any

law

or

re

gula

tion

(pro

vide

d, in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of In

form

atio

n Act

20

00 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, no

ne o

f th

e ex

cept

ions

to

that

Ac

t or

tho

se Reg

ulat

ions

ap

plie

s to

th

e in

form

atio

n di

sclo

sed)

or

purs

uant

to

the

ord

er o

f an

y Cou

rt o

f co

mpe

tent

jur

isdi

ctio

n or

the

req

uire

men

t of

any

com

pete

nt r

egul

ator

y au

thor

ity,

and

that

, in

ea

ch

case

w

here

th

e la

w

perm

its,

the

Part

y re

quired

to

m

ake

that

di

sclo

sure

has

inf

orm

ed t

he o

ther

, w

ithin

a r

easo

nabl

e tim

e af

ter

bein

g re

quired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t to

dis

clos

e an

d th

e in

form

atio

n re

quired

to

be d

iscl

osed

; or

6.2.

6 it

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.3

The

Inst

itutio

n w

ill

not

be

in

brea

ch

of

any

oblig

atio

n to

ke

ep

any

of

the

Col

labo

rato

r's

Bac

kgro

und

or i

nfor

mat

ion,

con

fiden

tial

or n

ot t

o di

sclo

se i

t to

any

th

ird

part

y, b

y:

6.3.

1 [e

xcep

t in

re

latio

n to

th

e Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion,

] Pu

blis

hing

an

y of

th

em

if th

e In

stitu

tion

has

follo

wed

the

pro

cedu

re i

n cl

ause

5.2

and

has

rec

eive

d no

Con

fiden

tialit

y N

otic

e w

ithin

the

per

iod

stat

ed in

tha

t cl

ause

; or

6.3.

2 m

akin

g th

em a

vaila

ble

to a

ny s

tude

nt o

f th

e In

stitu

tion

who

nee

ds t

o kn

ow

them

in

orde

r to

exe

rcis

e th

e rig

hts

gran

ted

in t

his

Agr

eem

ent,

pro

vide

d th

ey a

re n

ot u

sed

exce

pt a

s ex

pres

sly

perm

itted

by

this

Agr

eem

ent

and

the

stud

ent

unde

rtak

es t

o ke

ep t

hat

Bac

kgro

und

and

info

rmat

ion

conf

iden

tial

.

6.7

The

Col

labo

rato

r w

ill no

t be

in

br

each

of

an

y ob

ligat

ion

to ke

ep an

y of

th

e In

stitu

tion'

s Bac

kgro

und

or o

ther

inf

orm

atio

n co

nfid

ential

or

not

to d

iscl

ose

them

to

any

thi

rd p

arty

, by

mak

ing

them

ava

ilabl

e to

any

Gro

up C

ompa

ny,

or a

ny

pers

on w

orki

ng f

or o

r on

beh

alf

of t

he C

olla

bora

tor

or a

Gro

up C

ompa

ny,

who

ne

eds

to k

now

the

sam

e in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

thi

s Agr

eem

ent,

pr

ovid

ed t

hey

are

not

used

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t an

d th

e re

cipi

ent

unde

rtak

es t

o ke

ep t

hem

con

fiden

tial

.

6.5

[Nei

ther

Par

ty w

ill b

e in

bre

ach

of a

ny o

blig

atio

n to

kee

p an

y of

the

oth

er P

arty

’s

Con

fiden

tial

Inf

orm

atio

n, c

onfid

ential

or

not

to d

iscl

ose

it to

any

thi

rd p

arty

by

disc

losi

ng it

to

the

Fund

ing

Bod

y in

acc

orda

nce

with

the

Fun

ding

Con

ditio

ns.]

6.6

If t

he I

nstit

utio

n re

ceiv

es a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 to

di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n, i

t w

ill n

otify

the

Col

labo

rato

r an

d w

ill c

onsu

lt w

ith t

he

Col

labo

rato

r pr

ompt

ly a

nd b

efor

e m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or

thos

e Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

an

d w

ill n

otify

the

Col

labo

rato

r of

the

int

ende

d re

spon

se t

o th

at r

eque

st.

The

Col

labo

rato

r w

ill r

espo

nd t

o th

e In

stitu

tion

with

in 1

0 da

ys a

fter

rec

eivi

ng t

he

Inst

itutio

n’s

notic

e if

that

not

ice

requ

ests

the

Col

labo

rato

r to

pro

vide

inf

orm

atio

n to

ass

ist

the

Inst

itutio

n to

det

erm

ine

whe

ther

or

not

an e

xem

ptio

n to

the

Fre

edom

of

In

form

atio

n Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

20

04

appl

ies

to t

he i

nfor

mat

ion

requ

este

d un

der

that

Act

or

thos

e Reg

ulat

ions

. Th

e Col

labo

rato

r m

ay

mak

e re

pres

enta

tions

in

re

latio

n to

th

at

requ

est

and

the

prop

osed

res

pons

e an

d m

ay r

eque

st a

men

dmen

ts t

o th

e pr

opos

ed r

espo

nse.

[At

the

Col

labo

rato

r’s

requ

est,

exc

ept

in o

rder

to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

th

e In

form

atio

n Com

mis

sion

er

or

the

Info

rmat

ion

Trib

unal

, th

e In

stitu

tion

will

not

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

in

resp

onse

to

a

requ

est

unde

r th

e Fr

eedo

m o

f In

form

atio

n Act

200

0 or

the

Env

iron

men

tal

Info

rmat

ion

Reg

ulat

ions

20

04 p

rovi

ded

that

:

6.6.

1 th

e Col

labo

rato

r m

akes

th

at

requ

est

in

writin

g w

ithin

10

da

ys

afte

r re

ceiv

ing

the

Inst

itution

’s n

otic

e gi

ven

unde

r th

is c

laus

e 6.

6; a

nd

6.6.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

P

arti

es),

an

d ke

eps

them

fu

lly

and

effe

ctiv

ely

inde

mni

fied,

ag

ains

t ea

ch

and

ever

y cl

aim

m

ade

agai

nst

any

of

the

Inde

mni

fied

Part

ies

as a

res

ult

of t

he I

nstit

utio

n no

t m

akin

g an

y di

sclo

sure

of

th

e Col

labo

rato

r’s

Con

fiden

tial

info

rmat

ion

in re

spon

se to

a

requ

est

unde

r th

e Fr

eedo

m

of

Info

rmat

ion

Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4.]

6.7

Nei

ther

Par

ty w

ill u

se t

he o

ther

’s n

ame

or t

he n

ame

of a

ny o

f th

e Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

log

o in

any

pre

ss r

elea

se o

r

261

prod

uct

adve

rtis

ing,

or

for

any

othe

r pr

omot

iona

l pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y’s

writt

en c

onse

nt.

6.

8 [N

otw

ithst

andi

ng

any

othe

r pr

ovis

ion

of

this

Agr

eem

ent,

th

e In

stitu

tion

may

id

entif

y th

e su

ms

rece

ived

fro

m t

he C

olla

bora

tor

in t

he I

nstit

utio

n’s

Ann

ual R

epor

t an

d si

mila

r pu

blic

atio

ns][

, an

d th

e Col

labo

rato

r m

ay,

in o

rder

to

com

ply

with

any

tr

ansp

aren

cy r

epor

ting

oblig

atio

ns t

o w

hich

it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.

LIM

ITA

TIO

N O

F LI

AB

ILIT

Y

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

em

ploy

ees

invo

lved

in

the

Proj

ect

or l

ikel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed i

n th

e Pr

ojec

t],

but

not

havi

ng m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r),

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

st

uden

ts

who

w

ork

on

the

Proj

ect,

or

th

e co

nten

t or

us

e of

an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ection

with

the

Pr

ojec

t, w

ill n

ot c

onst

itute

or

resu

lt in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

O

R

7.

1 N

eith

er o

f th

e Pa

rtie

s [e

xcep

t un

der

clau

se 7

.10]

mak

es a

ny r

epre

sent

atio

n or

gi

ves

any

war

rant

y to

the

oth

er t

hat

any

advi

ce o

r in

form

atio

n gi

ven

by it

or

any

of i

ts e

mpl

oyee

s or

stu

dent

s w

ho w

ork

or h

ave

wor

ked

on t

he P

roje

ct,

or t

he

cont

ent

or u

se o

f an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

co

nnec

tion

with

th

e Pr

ojec

t,

will

no

t co

nstit

ute

or

resu

lt in

an

y in

frin

gem

ent

of t

hird

par

ty r

ight

s.

7.2

Exce

pt u

nder

the

war

rant

[y][

ies]

in

clau

se[s

] [7

.1 a

nd]

7.10

and

the

ind

emni

ties

in c

laus

es [

6.6,

]7.

3 an

d 7.

4, a

nd s

ubje

ct t

o cl

ause

7.8

, ne

ither

Par

ty a

ccep

ts a

ny

liabi

lity

or r

espo

nsib

ility

for

any

use

whi

ch m

ay b

e m

ade

by t

he o

ther

Par

ty o

f an

y of

the

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

the

Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

. 7.

3 Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] (

the

Ind

emn

ifyi

ng

P

arty

) w

ill i

ndem

nify

the

oth

er P

arty

, an

d its

em

ploy

ees

and

stud

ents

(to

geth

er

the

Ind

emn

ifie

d

Par

ties

), an

d ke

ep th

em f

ully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

re

sult

of t

he I

ndem

nify

ing

Part

y’s

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

and

any

m

ater

ials

, w

orks

or

info

rmat

ion

rece

ived

fro

m a

n In

dem

nifie

d Pa

rty

purs

uant

to

this

Agr

eem

ent,

pro

vide

d th

at t

he I

ndem

nifie

d Pa

rty

mus

t:

7.

3.1

prom

ptly

not

ify t

he I

ndem

nify

ing

Part

y of

det

ails

of

the

clai

m;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te its

los

ses

and

expe

nses

aris

ing

from

the

cl

aim

; 7.

3.4

allo

w th

e In

dem

nify

ing

Part

y to

ha

ve th

e co

nduc

t of

th

e de

fenc

e an

d se

ttle

men

t of

the

cla

im;

and

7.3.

5 gi

ve t

he I

ndem

nify

ing

Part

y al

l rea

sona

ble

assi

stan

ce (

at t

he I

ndem

nify

ing

Part

y’s

expe

nse)

in d

ealin

g w

ith t

he c

laim

.

Th

e in

dem

nity

in

this

cla

use

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, its

de

liber

ate

brea

ch o

f th

is A

gree

men

t or

its

kno

win

g in

frin

gem

ent

of a

ny t

hird

pa

rty’

s In

telle

ctua

l Pr

oper

ty R

ight

s or

its

kno

win

g br

each

of

any

third

part

y’s

righ

ts o

f co

nfid

ence

. 7.

4 Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all

cost

s, c

laim

s, d

eman

ds,

expe

nses

an

d lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

it o

f Sch

edul

e 6.

7.

5 Sub

ject

to

clau

ses

7.7

and

7.8,

and

exc

ept

unde

r th

e in

dem

nitie

s in

cla

uses

[6

.3,]

7.3

and

7.4,

the

lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

thi

s Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot e

xten

d to

:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; or

7.

5.2

to a

ny l

oss

of p

rofit

s, l

oss

of r

even

ue,

loss

of

data

, lo

ss o

f co

ntra

cts

or

oppo

rtun

ity,

whe

ther

direc

t or

indi

rect

,

even

if

the

part

y br

ingi

ng t

he c

laim

has

adv

ised

the

oth

er o

f th

e po

ssib

ility

of

thos

e lo

sses

, or

if t

hey

wer

e w

ithin

the

oth

er P

arty

's c

onte

mpl

atio

n.

7.6

Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

oth

er

for

all a

nd a

ny b

reac

hes

of t

his

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er

way

out

of

the

subj

ect

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill

not

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n][t

he p

ortio

n of

the

Ext

erna

l Fun

ding

al

loca

ted

to t

hat

Part

y] O

R [

£ins

ert

figur

e].

7.8

Sub

ject

in

each

cas

e to

cla

use

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

ot

her:

7.8.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

; 7.

8.2

unde

r th

e in

dem

nity

in

clau

se 7

.4 w

ill n

ot e

xcee

d in

tot

al £

[ins

ert

figur

e];

and

[7

.8.3

for

all

and

any

brea

ches

of

the

Fund

ing

Con

ditio

ns w

ill n

ot e

xcee

d in

tot

al

[the

am

ount

of

the

Exte

rnal

Fun

ding

]].

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

that

, by

law

, ca

nnot

be

limite

d or

ex

clud

ed;

or

7.8.

4 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.

9 Th

e ex

pres

s un

dert

akin

gs a

nd w

arra

ntie

s gi

ven

by t

he P

artie

s in

thi

s Agr

eem

ent

are

in li

eu o

f al

l oth

er w

arra

ntie

s, c

ondi

tions

, te

rms,

und

erta

king

s an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on la

w,

cust

om,

trad

e us

age,

cou

rse

of d

ealin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

.

262

7.10

[A

ny a

ssig

nmen

t of

Int

elle

ctua

l Pr

oper

ty R

ight

s m

ade

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

is m

ade

or w

ill b

e m

ade

with

ful

l tit

le g

uara

ntee

.] O

R [

In r

espe

ct o

f an

y as

sign

men

t of

Int

elle

ctua

l Pr

oper

ty R

ight

s m

ade

unde

r or

pur

suan

t to

thi

s Agr

eem

ent,

the

ass

igno

r w

arra

nts

to t

he a

ssig

nee

that

:

7.10

.1 the

ass

igno

r ha

s th

e righ

t to

dis

pose

of

the

Inte

llect

ual

Prop

erty

ass

igne

d an

d th

at it

will

, at

its

own

cost

, do

all

that

it r

easo

nabl

y ca

n to

giv

e th

e tit

le

that

it p

urpo

rts

to g

ive;

and

7.10

.2 the

Int

elle

ctua

l Pr

oper

ty R

ight

s as

sign

ed a

re f

ree

from

all

char

ges

and

encu

mbr

ance

s an

d rig

hts

of a

ny t

hird

par

ty (

exce

pt t

hose

of

whi

ch t

he

assi

gnor

is u

naw

are

or c

ould

not

rea

sona

bly

be a

war

e of

.]

8.FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

dela

yed

or p

reve

nted

by

circ

umst

ance

s be

yond

its

rea

sona

ble

cont

rol,

that

Par

ty w

ill n

ot b

e in

bre

ach

of t

his

Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce l

asts

mor

e th

an [

3] O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith

imm

edia

te e

ffec

t by

gi

ving

writt

en no

tice

to t

he P

arty

w

hose

pe

rfor

man

ce is

de

laye

d or

pre

vent

ed.

9.TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

the

oth

er P

arty

if t

he o

ther

Par

ty:

9.1.

1 is

in

brea

ch o

f an

y pr

ovis

ion

of t

his

Agr

eem

ent

and

(if

it is

cap

able

of

rem

edy)

the

bre

ach

has

not

been

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

af

ter

rece

ipt

of

writt

en

notic

e sp

ecify

ing

the

brea

ch

and

requ

irin

g its

re

med

y;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

app

oint

ed o

ver

the

who

le o

r an

y pa

rt o

f th

e ot

her

part

y's

asse

ts,

or i

f th

e ot

her

part

y m

akes

any

arr

ange

men

t w

ith it

s cr

edito

rs;

or

9.1.

3 co

mm

its a

ny b

reac

h of

Sch

edul

e 5

[or

Sch

edul

e 7]

.

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Pro

ject

. W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

w

ho or

igin

ally

ap

poin

ted

that

m

embe

r of

th

e Key

Pe

rson

nel

will

no

min

ate

a su

cces

sor.

Th

e ot

her

Part

y w

ill n

ot u

nrea

sona

bly

refu

se t

o ac

cept

the

nom

inat

ed

succ

esso

r, b

ut if

the

succ

esso

r is

not

acc

epta

ble

to t

he o

ther

Par

ty o

n re

ason

able

gr

ound

s, o

r if

the

appo

into

r ca

nnot

fin

d a

succ

esso

r, e

ither

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t by

giv

ing

the

othe

r no

t le

ss t

han

[3]

mon

ths'

not

ice.

9.6

[The

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time

prov

ided

th

e Col

labo

rato

r co

mpl

ies

with

cl

ause

s 9.

6 an

d 9.

7,

by gi

ving

no

t le

ss

than

[3

] m

onth

s' n

otic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

(su

bjec

t to

cla

use

9.5)

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

, 9.

8 an

d 10

w

ill s

urvi

ve t

he c

ompl

etio

n of

the

Pro

ject

or

the

term

inat

ion

of t

his

Agr

eem

ent

for

any

r eas

on a

nd w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct i

ndef

inite

ly o

r, i

n th

e ca

se o

f cl

ause

6, in

acc

orda

nce

with

cla

use

6.1.

9.5

On

the

term

inat

ion

of t

his

Agr

eem

ent

unde

r cl

ause

8.

9.1,

9.2

or

9.3

all r

ight

s an

d lic

ence

s gr

ante

d by

on

e Pa

rty

to

the

othe

r Pa

rty

unde

r or

pu

rsua

nt to

th

is

Agr

eem

ent

will

aut

omat

ical

ly t

erm

inat

e, e

xcep

t:

9.5.

1 an

y righ

ts t

o us

e an

y Res

ults

or

Bac

kgro

und

for

Acad

emic

and

Res

earc

h Pu

rpos

es;

and

9.5.

2 an

y righ

t to

Pub

lish

in a

ccor

danc

e w

ith c

laus

e 5.

9.6

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

bef

ore

term

inat

ion

[and

not

cov

ered

by

the

Exte

rnal

Fun

ding

]. I

f te

rmin

atio

n oc

curs

pu

rsua

nt

to

clau

se 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

w

hich

th

e In

stitu

tion

has

incu

rred

or

agre

ed t

o in

cur

and

whi

ch t

he I

nstit

utio

n is

una

ble

to c

ance

l.

9.7

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

[by

the

Inst

itution

] un

der

clau

se 9

.1

or 9

.2 [

or b

y th

e Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n is

in

tend

ed t

o co

ver

the

cost

s of

em

ploy

ing

any

Inst

itution

sta

ff i

nvol

ved

in t

he

Proj

ect,

the

Col

labo

rato

r w

ill c

ontin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

th

e ac

tual

direc

t em

ploy

men

t co

sts

of s

taff

who

wer

e ap

poin

ted

by t

he I

nstit

utio

n to

w

ork

on

the

Proj

ect

befo

re

the

serv

ice

of

the

notic

e,

prov

ided

th

at

the

Inst

itutio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

con

tinu

e un

til

the

effe

ctiv

e da

te o

f te

rmin

atio

n of

eac

h st

aff

cont

ract

or

the

date

on

whi

ch t

he P

roje

ct w

as t

o ha

ve e

nded

(w

hich

ever

is

the

earlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

inc

lude

a p

ropo

rtio

n of

any

red

unda

ncy

cost

s w

hich

ha

ve b

een

incu

rred

by

the

Inst

itutio

n as

a d

irec

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

th

at

prop

ortio

n to

be

ca

lcul

ated

by

di

vidi

ng

the

indi

vidu

al’s

in

volv

emen

t in

the

Pro

ject

by

the

dura

tion

of h

is p

erio

d of

em

ploy

men

t by

the

In

stitu

tion.

9.8

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hole

of

th

at co

ntribu

tion

has

not,

by

th

e en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

pur

pose

s fo

r w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GEN

ERA

L

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

writing

, m

ust

be d

eliv

ered

to

the

othe

r Pa

rty

by a

ny o

f th

e m

etho

ds s

et o

ut i

n th

e le

ft h

and

colu

mn

belo

w,

and

will

be

deem

ed t

o be

rec

eive

d on

the

cor

resp

ondi

ng d

ay s

et

out

in t

he r

ight

han

d co

lum

n:

Met

ho

d o

f se

rvic

e

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

the

day

of d

eliv

ery

By

pre-

paid

first

cla

ss p

ost

the

seco

nd B

usin

ess

Day

aft

er p

ostin

g

By

reco

rded

del

iver

y po

st

the

next

Bus

ines

s D

ay a

fter

pos

ting

The

Part

ies'

res

pect

ive

repr

esen

tativ

es f

or t

he r

ecei

pt o

f no

tices

are

, un

til c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

263

Fo

r th

e In

stit

uti

on

: Fo

r th

e C

olla

bo

rato

r:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it

, w

ithou

t fir

st o

btai

ning

the

writt

en c

onse

nt

of t

he o

ther

Par

ty[,

exc

ept

that

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a

who

le t

o a

Gro

up C

ompa

ny w

ithou

t th

e co

nsen

t of

the

Ins

titut

ion]

. N

eith

er P

arty

w

ill u

nrea

sona

bly

with

hold

or

dela

y its

con

sent

. 10

.3

Ille

gal

/u

nen

forc

eab

le p

rovi

sio

ns:

If

the

who

le o

r an

y pa

rt o

f an

y pr

ovis

ion

of

this

Agr

eem

ent

is v

oid

or u

nenf

orce

able

in a

ny j

uris

dict

ion,

the

oth

er p

rovi

sion

s of

th

is A

gree

men

t, a

nd t

he r

est

of t

he v

oid

or u

nenf

orce

able

pro

visi

on,

will

con

tinu

e in

for

ce in

that

jur

isdi

ctio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on in

any

othe

r ju

risd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

the

oth

er p

arty

, or

fai

ls t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

con

stitu

te a

wai

ver

of t

hat

righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a f

utur

e oc

casi

on.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em of

pr

inci

pal

and

agen

t. N

eith

er Pa

rty

has

any

auth

ority

to

m

ake

any

repr

esen

tatio

n or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

[and

the

Fun

ding

Con

dition

s] c

onst

itute

[s]

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to i

ts s

ubje

ct m

atte

r.

Each

Pa

rty

ackn

owle

dges

tha

t it

has

not

ente

red

into

thi

s Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t, a

gree

men

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch P

arty

wai

ves

any

clai

m f

or b

reac

h of

th

is

Agr

eem

ent,

or

an

y righ

t to

re

scin

d th

is

Agr

eem

ent

in

resp

ect

of

any

repr

esen

tatio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

liab

ility

whi

ch e

ither

Par

ty m

ay h

ave

to t

he o

ther

(o

r an

y righ

t w

hich

eith

er P

arty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in r

espe

ct o

f an

y fr

audu

lent

mis

repr

esen

tatio

n or

fra

udul

ent

conc

ealm

ent

befo

re t

he s

igni

ng o

f th

is A

gree

men

t.

10.7

Fo

rmal

itie

s:

Each

Pa

rty

will

ta

ke

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly r

equi

red

by t

he o

ther

Par

ty t

o gi

ve e

ffec

t to

any

of

its r

ight

s un

der

this

Agr

eem

ent,

or

to e

nabl

e th

eir

regi

stra

tion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit c

onfe

rred

by

this

Agr

eem

ent,

unl

ess

this

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

un

der

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Ag

reem

ent

and

any

disp

ute

or cl

aim

(i

nclu

ding

no

n-co

ntra

ctua

l dis

pute

s or

cla

ims)

arisi

ng o

ut o

f or

in c

onne

ctio

n w

ith it

or

its s

ubje

ct

mat

ter

or f

orm

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch

has

aris

en o

r m

ay a

rise

out

of,

or

in c

onne

ctio

n w

ith,

this

Agr

eem

ent,

exc

ept

that

a

Part

y m

ay

brin

g pr

ocee

ding

s to

pr

otec

t its

In

telle

ctua

l Pr

oper

ty

Rig

hts

or

Con

fiden

tial

Inf

orm

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny is

sue

conc

erni

ng

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne p

arty

has

not

ified

the

oth

er

of t

hat

issu

e, t

hey

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

In

stitu

tion,

and

to

[ins

ert

offic

er]

in t

he c

ase

of t

he C

olla

bora

tor

in a

n at

tem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pr

ocee

ding

s in

acc

orda

nce

with

cla

use

10.1

0 if

the

mat

ter

has

not

been

res

olve

d w

ithin

tha

t [1

4] d

ay p

erio

d, a

nd e

ither

Par

ty m

ay b

ring

pro

ceed

ings

to

prot

ect

its

Inte

llect

ual

Prop

erty

R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

iction

, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

. 10

.12

An

ti-B

rib

ery:

Eac

h pa

rty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

5.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch p

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

6.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

If

tha

t m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

orig

inal

of

the

exec

uted

cou

nter

part

as

soon

as

poss

ible

. [1

0.15

Exp

ort

C

on

tro

l:

each

Pa

rty

will

co

mpl

y w

ith

appl

icab

le

UK

expo

rt

cont

rol

legi

slat

ion

and

regu

lation

s. E

ach

Part

y w

ill c

ompl

y w

ith t

he s

peci

fic c

ondi

tions

of

any

US e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in

writing

and

whi

ch a

re a

pplic

able

to

it.]

S

IGN

ED

for

and

on

beha

lf of

th

e In

stitu

tion:

N

ame

Posi

tion

Sig

natu

re

SIG

NED

fo

r an

d on

be

half

of

the

Col

labo

rato

r:

Nam

e Po

sitio

n Sig

natu

re

[R

ead

and

unde

rsto

od b

y th

e Pr

inci

pal

Rea

d an

d un

ders

tood

by

the

In

vest

igat

or:

Col

labo

rato

r’s

Sup

ervi

sor:

…

……

……

……

……

……

……

……

……

……

……

……

..

……

……

……

……

……

……

……

……

……

……

……

….

Sig

natu

re

Sig

natu

re

264

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e]S

CH

EDU

LE 1

Th

e Fi

nan

cial

Co

ntr

ibu

tio

n

265

SC

HED

ULE

2

The

Pro

ject

Pla

n

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Loca

tio

n

Bac

kg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Task

s to

be

carr

ied

ou

t b

y ea

ch P

arty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cilit

ies

and

eq

uip

men

t ea

ch P

arty

is t

o p

rovi

de

Res

ult

s A

nti

cip

ated

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s

[SC

HED

ULE

3

The

Fun

din

g C

on

dit

ion

s]

266

SC

HED

ULE

4

Goo

d D

ata

Man

agem

ent

Pra

ctic

es

1.Res

earc

h da

ta

mus

t be

ge

nera

ted

usin

g so

und

scie

ntifi

c te

chni

ques

an

dpr

oces

ses;

2.Res

earc

h da

ta m

ust

be a

ccur

atel

y re

cord

ed i

n ac

cord

ance

with

goo

d sc

ient

ific

prac

tices

by

the

peop

le c

ondu

ctin

g th

e re

sear

ch;

3.Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in a

ccor

danc

ew

ith g

ood

scie

ntifi

c pr

actic

es;

4.Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.D

ata

trai

ls m

ust

be k

ept

to a

llow

peo

ple

to d

emon

stra

te e

asily

and

to

reco

nstr

uct

key

deci

sion

s m

ade

during

the

con

duct

of th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.Ea

ch P

arty

has

the

rig

ht,

on n

ot l

ess

than

[30

] da

ys w

ritt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

esan

d pr

oced

ures

.

SC

HED

ULE

5

An

ti-B

rib

ery

1.Ea

ch P

arty

will

, in

con

nect

ion

with

the

Pro

ject

:

1.1

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or i

tsac

tiviti

es an

d w

hich

re

late

to

an

ti-br

iber

y or

an

ti-co

rrup

tion

(o

r bo

th),

in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

the

Brib

ery

Act

201

0 if

it ha

d be

en c

arried

out

in t

he U

nite

d K

ingd

om;

1.3

have

po

licie

s an

d pr

oced

ures

(i

nclu

ding

ad

equa

te

proc

edur

es

as

dete

rmin

ed i

n ac

cord

ance

with

sec

tion

7(2)

of

the

Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed u

nder

sec

tion

9 of

tha

t Act

) to

ens

ure

com

plia

nce

with

pa

ragr

aphs

1.1

and

1.2

abo

ve;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 1

.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er p

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.7

keep

acc

urat

e an

d up

to

date

rec

ords

and

boo

ks o

f ac

coun

t sh

owin

g al

l pa

ymen

ts m

ade

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

co

mpl

ianc

e w

ith t

his

Sch

edul

e.);

and

1.8

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

an

d to

cop

y th

ose

reco

rds

and

acco

unts

and

to

mee

t w

ith its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e,.

2.Ea

ch Pa

rty

will

en

sure

th

at an

y pe

rson

as

soci

ated

w

ith it

(as

dete

rmin

ed

inac

cord

ance

with

sec

tion

8 of

the

Bribe

ry A

ct 2

010

and

para

grap

h 4

belo

w)

who

isin

volv

ed i

n th

e Pr

ojec

t, i

s in

volv

ed i

n th

e Pr

ojec

t on

ly o

n th

e ba

sis

of a

writt

enco

ntra

ct w

hich

impo

ses

on t

hat

pers

on t

erm

s eq

uiva

lent

to

thos

e im

pose

d on

tha

tPa

rty

in t

his

Sch

edul

e.

3.Ea

ch P

arty

will

ens

ure

that

eac

h pe

rson

ref

erre

d to

in p

arag

raph

2 a

bove

com

plie

sw

ith t

erm

s eq

uiva

lent

to

the

term

s im

pose

d by

thi

s Sch

edul

e, a

nd w

ill b

e lia

ble

toth

e ot

her

Part

y fo

r an

y br

each

by

that

per

son

of a

ny o

f th

ose

term

s.

4.A p

erso

n as

soci

ated

with

a p

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

com

pani

es a

nd s

ubco

ntra

ctor

s an

d th

eir

resp

ectiv

e em

ploy

ees.

267

SC

HED

ULE

6

D

ata

Pro

tect

ion

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l Dat

a on

beh

alf

of t

he o

ther

Pa

rty

(th

e D

ata

Co

ntr

olle

r),

the

prov

isio

ns o

f th

is S

ched

ule

will

app

ly.

1.

The

Part

y w

hich

car

ries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at

Pers

onal

D

ata

in

acco

rdan

ce

with

th

e D

ata

Prot

ectio

n Le

gisl

atio

n, a

ffor

ding

to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

w

ould

ha

ve

wer

e th

eir

Pers

onal

D

ata

bein

g Pr

oces

sed

by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly i

n ac

cord

ance

with

the

Dat

a Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’ r

eque

sts

for

acce

ss t

o, in

form

atio

n ab

out,

and

the

rec

tific

atio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

en

quiry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al D

ata

bein

g Pr

oces

sed

for

the

Dat

a Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

th

at

requ

est

or

enqu

iry

as

the

Dat

a Con

trol

ler

may

re

ason

ably

re

ques

t,

and

not

resp

ond

to

any

such

re

ques

t or

en

quiry

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph

1 ab

ove,

an

d w

ill

give

th

e D

ata

Con

trol

ler

any

assi

stan

ce

whi

ch

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(a

nd n

ot d

efin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in

the

Dat

a Pr

otec

tion

Legi

slat

ion.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar

to

refle

ct

any

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

th

e D

ata

Con

trol

ler,

not

with

stan

ding

the

ter

min

atio

n of

thi

s Agr

eem

ent

or t

he

com

plet

ion

of t

he P

roje

ct.

6.

The

Dat

a Pr

oces

sor

will

in

dem

nify

th

e D

ata

Con

trol

ler

and

keep

th

e D

ata

Con

trol

ler

fully

and

eff

ectiv

ely

inde

mni

fied

on d

eman

d ag

ains

t al

l co

sts,

cla

ims,

de

man

ds,

expe

nses

and

lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

the

Dat

a Pr

oces

sor

of t

his

Sch

edul

e.

OR

W

here

bot

h Pa

rtie

s de

term

ine

the

purp

ose

of t

he P

roce

ssin

g in

res

pect

of

any

Pers

onal

D

ata

whi

ch is

Pro

cess

ed in

the

cou

rse

of o

r fo

r th

e pu

rpos

e of

the

Pro

ject

, th

e pr

ovis

ions

of

thi

s Sch

edul

e w

ill a

pply

.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch it

Pro

cess

es

in c

onne

ctio

n w

ith t

he P

roje

ct.

It w

ill:

1.1

Proc

ess

that

Per

sona

l Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

th

e se

curity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.

4 gi

ve th

e ot

her

Part

y su

ch

info

rmat

ion

and

assi

stan

ce as

it

reas

onab

ly

requ

ires

in

orde

r to

ena

ble

the

othe

r Pa

rty

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

par

ticul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o,

info

rmat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er p

arty

suc

h as

sist

ance

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

it m

ay r

easo

nabl

y re

ques

t;

1.

6 no

tify

the

othe

r Pa

rty

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

268

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

par

ty’s

writt

en c

onse

nt.

2.Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l re

ason

able

tim

es t

o in

spec

t an

d re

view

the

step

s be

ing

take

n by

it

to c

ompl

y w

ith p

arag

raph

1 a

bove

, an

d w

ill g

ive

the

othe

r Pa

rty

any

assi

stan

ce w

hich

it

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.All

expr

essi

ons

in p

arag

raph

1, 2

, 4,

5 o

r 6

begi

nnin

g w

ith a

cap

ital l

ette

r (a

nd n

otde

fined

els

ewhe

re in

thi

s Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in t

he D

ata

Prot

ectio

n Le

gisl

atio

n.

4.Th

e pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

nLe

gisl

atio

n,

in

part

icul

ar

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Part

ies

to c

ompl

y w

ith a

ny r

equi

rem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

nCom

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

toth

e Pr

oces

sing

of Pe

rson

al D

ata.

5.Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

def

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

the

othe

r Pa

rty,

no

twith

stan

ding

th

e te

rmin

atio

n of

th

is

Agr

eem

ent

or

the

com

plet

ion

of t

he P

roje

ct.

[SC

HE

DU

LE 7

]

Par

t 1

- H

um

an R

igh

ts

1.U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

perf

orm

ance

of th

is A

gree

men

t:

1.34

no

t em

ploy

, en

gage

or

use

any

child

lab

our

in c

ircu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.35

no

t us

e fo

rced

la

bour

in

an

y fo

rm

(priso

n,

inde

ntur

ed,

bond

ed

or

othe

rwis

e);

1.36

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.37

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

and

if

any

acco

mm

odat

ion

is p

rovi

ded

by t

hat

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe f

or h

abita

tion

;

1.38

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re to

its

em

ploy

ees

in t

he e

vent

of ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

;

1.39

no

t di

scrim

inat

e ag

ains

t an

y em

ploy

ee on

an

y gr

ound

(i

nclu

ding

ra

ce,

relig

ion,

dis

abili

ty o

r ge

nder

);

1.40

no

t en

gage

in o

r su

ppor

t th

e us

e of

cor

pora

l pun

ishm

ent,

men

tal,

phys

ical

, se

xual

or

verb

al a

buse

;

1.41

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.42

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

th

e pr

evai

ling

indu

stry

wag

e, (

whi

chev

er i

s th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.43

co

mpl

y w

ith t

he l

aws

on w

orki

ng h

ours

and

em

ploy

men

t righ

ts i

n th

e co

untr

ies

in w

hich

it o

pera

tes;

and

1.44

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

inde

pend

ent

trad

e un

ions

and

fr

eedo

m o

f as

soci

atio

n.

2.Ea

ch P

arty

agr

ees

that

it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

ndth

at it

will

enc

oura

ge c

ompl

ianc

e w

ith e

thic

al s

tand

ards

and

hum

an r

ight

s by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by it

whe

n pe

rfor

min

g its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal

with

any

bre

ache

s of

thos

e po

licie

s.

Par

t 2

– A

nti

-Sla

very

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

28.

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es a

ndw

hich

rel

ate

to a

nti-

slav

ery

and

hum

an t

raff

icki

ng,

incl

udin

g t

he M

oder

n Sla

very

Act

201

5;

269

29.

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

4 M

oder

nSla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

30.

have

and

mai

ntai

n its

ow

n po

licie

s an

d pr

oced

ures

to

ensu

re c

ompl

ianc

e w

ithpa

ragr

aphs

1 a

nd 2

abo

ve;

31.

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 3

abo

ve;

32.

incl

ude

in i

ts c

ontr

acts

with

its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

dhu

man

tra

ffic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of t

his

Sch

edul

e;

33.

prom

ptly

rep

ort

to t

he o

ther

Par

ty a

ny b

reac

h of

thi

s se

ctio

n of

thi

s Sch

edul

e of

whi

ch it

bec

omes

aw

are;

34.

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e as

the

othe

r Pa

rty

may

rea

sona

bly

requ

est

from

tim

e to

tim

e;

35.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

sSch

edul

e.);

and

36.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

the

rec

ords

ref

erre

d to

in p

arag

raph

8 a

bove

and

to

mee

t w

ith its

per

sonn

elto

ver

ify c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e.

[Par

t 3

– t

he

Co

llab

ora

tor’

s P

olic

ies

and

Pro

ced

ure

s

Each

Par

ty w

ill c

ompl

y w

ith t

he f

ollo

win

g:

[Ins

ert

deta

ils]]

Dat

ed _

__

__

__

__

__

__

__

__

__

__

__

__

20

1[]

(1)

[IN

SER

T N

AM

E]

(2)

[IN

SER

T N

AM

E]

MO

DE

L C

OLL

AB

OR

ATI

ON

AG

RE

EMEN

T 4

A

Sce

nar

io -

Eac

h p

arty

has

th

e ri

gh

t to

exp

loit

cer

tain

of

the

Res

ult

s cr

eate

d i

n t

he

cou

rse

of

the

Pro

ject

an

d t

akes

an

ass

ign

men

t o

f th

e R

esu

lts

wh

ich

it

has

th

e ri

gh

t to

exp

loit

.

The

Inst

itu

tio

n h

as t

he

rig

ht

to u

se t

he

Res

ult

s o

wn

ed b

y th

e C

olla

bo

rato

r fo

r A

cad

emic

an

d R

esea

rch

Pu

rpo

ses

and

th

e C

olla

bo

rato

r h

as t

he

rig

ht

to u

se t

he

Res

ult

s o

wn

ed b

y th

e In

stit

uti

on

fo

r R

esea

rch

Pu

rpo

ses.

270

THIS

AG

REE

MEN

T d

ated

[…

……

……

……

……

……

……

……

….]

20

1[]

is m

ade

BET

WEE

N:

(1)

[IN

SER

T

NA

ME]

, w

hose

ad

min

istr

ativ

e of

fices

ar

e at

[i

nser

t ad

dres

s]

(th

e In

stit

uti

on

); a

nd

(2)

[IN

SER

T

NA

ME]

[L

IMIT

ED

] O

R [

PLC

], [

a co

mpa

ny r

egis

tere

d in

[En

glan

d]

unde

r nu

mbe

r [i

nser

t nu

mbe

r],

who

se r

egis

tere

d of

fice

is a

t [i

nser

t ad

dres

s of

re

gist

ered

off

ice]

OR

[in

sert

sta

tus

of t

he C

olla

bora

tor,

e.g

. N

HS T

rust

] of

[in

sert

ad

dres

s of

princ

ipal

off

ice]

(th

e C

olla

bo

rato

r)

BA

CK

GR

OU

ND

The

part

ies

to t

his

Agr

eem

ent

wis

h to

col

labo

rate

on

a re

sear

ch p

roje

ct e

ntitl

ed "

[ins

ert

nam

e of

pro

ject

]".

[The

Tec

hnol

ogy

Str

ateg

y Boa

rd h

as a

nnou

nced

its

int

entio

n to

mak

e a

gran

t in

res

pect

of

tha

t pr

ojec

t, s

ubje

ct t

o th

e te

rms

of t

he o

ffer

let

ter

refe

rred

to

belo

w,

and

subj

ect

to

the

part

ies

ente

ring

into

an

agre

emen

t go

vern

ing

thei

r co

llabo

ratio

n.]

This

Agr

eem

ent

gove

rns

the

part

ies’

col

labo

ratio

n in

rel

atio

n to

tha

t pr

ojec

t.

1.

DE

FIN

ITIO

NS

AN

D I

NTE

RP

RE

TATI

ON

1.

1 In

thi

s Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

A

cad

emic

Pu

bli

cati

on

: th

e pu

blic

atio

n of

an

abst

ract

, ar

ticle

or

pape

r in

a

jour

nal

or

an

elec

tron

ic

repo

sito

ry,

or

its

pres

enta

tion

at a

con

fere

nce

or s

emin

ar;

and

in

clau

ses

5 an

d 6

to P

ub

lish

and

Pu

bli

cati

on

are

to

be

cons

true

d as

mea

ning

suc

h pu

blic

atio

n or

pr

esen

tatio

n;

A

cad

emic

an

d

Res

earc

h

Pu

rpo

ses:

re

sear

ch

[(ex

cept

[i

nser

t an

y ex

cept

ions

])],

te

achi

ng[,

and

] ed

ucat

ion[

and

Clin

ical

Pat

ient

Car

e];

th

is A

gre

emen

t:

this

do

cum

ent,

in

clud

ing

its

Sch

edul

es,

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

B

ack

gro

un

d:

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

inve

ntio

ns,

disc

over

ies,

sof

twar

e an

d m

ater

ials

(r

egar

dles

s of

the

for

m o

r m

ediu

m in

whi

ch t

hey

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

this

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mon

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

[C

linic

al P

atie

nt

Car

e:

any

of t

he f

ollo

win

g: d

iagn

osin

g, t

reat

ing

and

man

agin

g th

e he

alth

of

a pe

rson

und

er t

he c

are

of a

thi

rd p

arty

med

ical

pra

ctiti

oner

who

has

the

righ

t to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y of

the

Res

ults

;]

[t

he

Co

llab

ora

tor’

s M

ater

ials

: th

e [m

ater

ials

], (

whe

ther

pre

-exi

stin

g or

und

er

deve

lopm

ent)

whi

ch t

he C

olla

bora

tor

cont

ribu

tes

to t

he P

roje

ct o

r w

hich

are

the

sub

ject

or

one

of

the

subj

ects

of

the

Proj

ect;

]

th

e C

olla

bo

rato

r’s

Res

ult

s:

[the

Res

ults

to

the

exte

nt t

hat

they

are

di

rect

ly

rela

ted

to

the

com

posi

tion,

ch

arac

terist

ics,

m

anuf

actu

re,

deve

lopm

ent,

en

hanc

emen

t

or

use

of

the

[Col

labo

rato

r’s

Bac

kgro

und]

[t

he

Col

labo

rato

r’s

Mat

eria

ls]

[or

the

Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion]

O

R

[ins

ert

a de

script

ion

of t

he s

peci

fic k

ind

of R

esul

t w

hich

th

e Col

labo

rato

r is

to

own]

;

the

Co

llab

ora

tor'

s S

up

ervi

sor:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

];

th

e C

om

men

cem

ent

Dat

e:

[ins

ert

the

date

on

w

hich

th

e Pr

ojec

t is

to

st

art/

star

ted]

;

Co

nfi

den

tial

In

form

atio

n:

a Pa

rty'

s co

nfid

ential

in

form

atio

n is

: an

y Bac

kgro

und

[or

Mat

eria

ls]

disc

lose

d by

th

at

Part

y to

the

oth

er P

arty

for

use

in

the

Proj

ect

[and

ide

ntifi

ed a

s co

nfid

entia

l be

fore

or

at t

he

time

of d

iscl

osur

e];

any

of t

he R

esul

ts i

n w

hich

th

at P

arty

ow

ns t

he I

ntel

lect

ual P

rope

rty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to

the

othe

r Pa

rty

for

use

in t

he P

roje

ct o

r un

der

this

Agr

eem

ent

[and

id

entif

ied

as

conf

iden

tial

be

fore

or

at t

he t

ime

of d

iscl

osur

e or

whi

ch,

by

its

natu

re

or

from

th

e ci

rcum

stan

ces

of

its

disc

losu

re,

shou

ld r

easo

nabl

y be

pre

sum

ed t

o be

co

nfid

ential

];

C

on

tro

l:

the

abili

ty t

o di

rect

the

aff

airs

of

anot

her

pers

on,

whe

ther

by

virt

ue o

f th

e ow

ners

hip

of s

hare

s, b

y co

ntra

ct,

or in

any

oth

er w

ay;

th

e D

ata

Pro

tect

ion

Le

gis

lati

on

: w

hile

the

y re

mai

n in

for

ce t

he D

ata

Prot

ectio

n Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

and

an

y ot

her

law

s an

d re

gula

tions

re

lating

to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

ap

ply

to a

Par

ty a

nd,

if ap

plic

able

, th

e gu

idan

ce

and

code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

viso

ry a

utho

rity

;

271

the

Ext

ern

al F

un

din

g:

any

fund

ing

or

assi

stan

ce

prov

ided

fo

r th

e Pr

ojec

t, o

r to

a P

arty

for

use

in

the

Proj

ect

by

any

third

pa

rty,

in

clud

ing

any

stat

e or

pu

blic

bo

dy];

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

[th

e Fu

nd

ing

Bo

dy:

[i

nser

t de

tails

of

the

body

whi

ch i

s to

pro

vide

th

e Ex

tern

al F

undi

ng;]

]

[th

e Fu

nd

ing

Co

nd

itio

ns:

th

e te

rms

on w

hich

the

Fun

ding

Bod

y pr

ovid

es

any

Exte

rnal

Fu

ndin

g],

copi

es

of

whi

ch

are

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;]

the

Go

od

Dat

a M

anag

emen

t P

ract

ices

:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

a G

rou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pe

rson

whi

ch a

lso

Con

trol

s th

e Col

labo

rato

r;

[th

eIn

stit

uti

on

’s

Mat

eria

ls:

the

[mat

eria

ls],

(w

heth

er p

re-e

xist

ing

or u

nder

de

velo

pmen

t) w

hich

the

Ins

titut

ion

cont

ribu

tes

to t

he P

roje

ct o

r w

hich

are

the

sub

ject

or

one

of

the

subj

ects

of

the

Proj

ect;

]

the

Inst

itu

tio

n’s

Res

ult

s:

[all

the

Res

ults

whi

ch a

re n

ot t

he C

olla

bora

tor’

s Res

ults

] O

R [

the

Res

ults

to

the

exte

nt t

hat

they

ar

e

dire

ctly

re

late

d to

th

e co

mpo

sition

, ch

arac

terist

ics,

m

anuf

actu

re,

deve

lopm

ent,

en

hanc

emen

t

or

use

of

the

[Ins

titut

ion’

s Bac

kgro

und]

[th

e In

stitu

tion’

s M

ater

ials

] [o

r th

e In

stitu

tion’

s Con

fiden

tial

Inf

orm

atio

n] O

R [

inse

rt

a de

scrip

tion

of t

he s

peci

fic k

ind

of R

esul

t w

hich

th

e In

stitu

tion

is t

o ow

n];

Inte

llect

ual

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

and

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uatio

ns,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e Col

labo

rato

r’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

Kn

ow

-ho

w:

unpa

tent

ed

tech

nica

l in

form

atio

n (i

nclu

ding

in

form

atio

n re

latin

g to

in

vent

ions

, di

scov

erie

s,

conc

epts

, m

etho

dolo

gies

, m

odel

s,

rese

arch

, de

velo

pmen

t an

d te

stin

g pr

oced

ures

, th

e re

sults

of

exp

erim

ents

, te

sts

and

tria

ls,

man

ufac

turing

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l da

ta,

anal

yses

, re

port

s an

d su

bmis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

: th

e In

stitu

tion

or

the

Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

the

Pro

ject

Per

iod

: th

e pe

riod

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of t

his

Agr

eem

ent[

and

any

Fun

ding

Con

ditio

ns];

Res

earc

h P

urp

ose

s:

[any

pu

rpos

e ex

cept

co

mm

erci

alis

atio

n,

i.e.

licen

sing

for

val

ue o

r sa

le f

or v

alue

] O

R [

acts

do

ne

for

expe

rim

enta

l pu

rpos

es[

or to

ob

tain

re

gula

tory

app

rova

l for

any

gen

eric

or

inno

vativ

e m

edic

inal

pro

duct

(in

clud

ing

any

clin

ical

trial

)];

the

Res

ult

s:

all

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

a V

aria

tio

n A

gre

emen

t:

a w

ritt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

prop

osed

new

par

ty t

o th

is

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.2

The

head

ings

in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct

its c

onst

ruct

ion

or in

terp

reta

tion.

1.3

Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

.

272

1.4

A r

efer

ence

in t

his

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as

amen

ded,

ex

tend

ed

or

re-e

nact

ed

from

tim

e to

tim

e an

d in

clud

es

all

subo

rdin

ate

legi

slat

ion

mad

e fr

om t

ime

to t

ime

unde

r th

at s

tatu

te o

r st

atut

ory

prov

isio

n.

1.5

A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l.

1.6

A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce

to t

hat

othe

r ag

reem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss in

br

each

of

this

Agr

eem

ent)

fro

m t

ime

to t

ime.

1.7

Ref

eren

ces

in t

his

Agr

eem

ent

to c

laus

es a

nd S

ched

ules

are

to

the

clau

ses

and

Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing,

incl

ud

e or

in

p

arti

cula

r, o

r an

y si

mila

r ex

pres

sion

, ar

e to

be

cons

true

d as

illu

stra

tive

and

do

not

limit

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

.

1.9

The

acts

and

om

issi

ons

of i

ts G

roup

Com

pani

es a

re d

eem

ed t

o be

with

in t

he

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol a

nd t

he a

cts

and

omis

sion

s of

any

con

trac

tor

are

deem

ed

to b

e w

ithin

the

con

trol

of th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

.

[1.1

0 W

ords

and

phr

ases

def

ined

in

the

Fund

ing

Con

ditio

ns a

nd n

ot d

efin

ed i

n th

is

Agr

eem

ent

have

the

mea

ning

giv

en t

o th

em in

the

Fun

ding

Con

ditio

ns w

hen

used

in

thi

s Agr

eem

ent.

1.11

If

the

re i

s an

y co

nflic

t be

twee

n th

e te

rms

of t

his

Agr

eem

ent

and

the

Fund

ing

Con

ditio

ns,

this

Agr

eem

ent

will

pre

vail

in r

elat

ion

to t

he a

rran

gem

ents

as

betw

een

the

Part

ies,

but

it

will

not

affec

t th

e Pa

rtie

s' r

espe

ctiv

e ob

ligat

ions

to

the

Fund

ing

Bod

y un

der

the

Fund

ing

Con

ditio

ns.]

2.TH

E P

RO

JEC

T

2.1

The

Proj

ect

[will

beg

in o

n] O

R [

bega

n on

] th

e Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il [t

he e

arlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he P

roje

ct o

r an

y la

ter

date

agr

eed

in w

riting

bet

wee

n th

e Pa

rtie

s,

or u

ntil

this

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If

this

Agr

eem

ent

is

ente

red

into

af

ter

the

Com

men

cem

ent

Dat

e,

it w

ill

appl

y re

tros

pect

ivel

y to

w

ork

carr

ied

out

in re

latio

n to

the

Pro

ject

on

or af

ter

the

Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in

the

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

are

des

igna

ted

as it

s re

spon

sibi

lity

in t

he

Proj

ect

Plan

. T

he P

roje

ct w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

[t

he P

rinc

ipal

Inv

estig

ator

] O

R [

the

Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

the

Loc

atio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f the

Par

ties]

will

obta

in a

nd m

aint

ain

all r

egul

ator

y an

d et

hica

l lic

ence

s, c

onse

nts

and

appr

oval

s ne

cess

ary

to a

llow

it to

car

ry o

ut

the

task

s al

lotte

d to

it

in t

he P

roje

ct P

lan

and

will

car

ry o

ut t

he P

roje

ct i

n ac

cord

ance

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to it

s ac

tiviti

es u

nder

or

purs

uant

to th

is A

gree

men

t.

2.4

Each

of t

he P

artie

s w

ill e

nsur

e th

at it

s em

ploy

ees

and

stud

ents

(if

any)

inv

olve

d in

the

Pro

ject

: ob

serv

e th

e co

nditi

ons

atta

chin

g to

any

reg

ulat

ory

and

ethi

cal

licen

ces,

co

nsen

ts an

d ap

prov

als;

ke

ep co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct

and

of a

ll Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

co

unte

rsig

ned

by a

n em

ploy

ee o

f th

at P

arty

who

is n

ot a

mem

ber

of t

he r

esea

rch

team

bu

t w

ho

unde

rsta

nds

the

wor

k;

and

com

ply

with

th

e G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

staf

f an

d st

uden

ts (

if an

y) (

incl

udin

g in

the

ca

se o

f th

e Col

labo

rato

r, a

ny s

taff

of

any

Gro

up C

ompa

ny)

invo

lved

in t

he P

roje

ct,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Pa

rty’

s he

alth

an

d sa

fety

an

d se

curity

po

licie

s an

d pr

oced

ures

an

d,

whe

n ac

cess

ing

or u

sing

the

oth

er P

arty

’s i

nfor

mat

ion

syst

ems,

com

ply

with

the

oth

er

Part

y’s

info

rmat

ion

secu

rity

pol

icie

s an

d pr

oced

ures

.

2.6

[[Th

e In

stitu

tion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

ompl

y w

ith t

he p

rovi

sion

s in

Sch

edul

e 7.

[At

any

time

during

the

Pro

ject

Per

iod,

the

Col

labo

rato

r m

ay r

equi

re

chan

ges

to P

art

3 of

Sch

edul

e 7,

whe

re s

uch

chan

ges

are

nece

ssar

y to

ens

ure

that

the

Pro

ject

is

unde

rtak

en i

n co

mpl

ianc

e w

ith t

he C

olla

bora

tor’s

appl

icab

le

polic

ies

and

proc

edur

es.]

]

2.7

Alth

ough

[th

e In

stitu

tion

] O

R [

each

of

the

Part

ies]

will

use

rea

sona

ble

ende

avou

rs

to c

arry

out

the

Pro

ject

in

acco

rdan

ce w

ith t

he P

roje

ct P

lan,

[th

e In

stitu

tion

does

no

t un

dert

ake]

OR

[ne

ither

Par

ty u

nder

take

s] t

hat

any

rese

arch

will

lea

d to

any

pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

OR

[E

ach

of t

he P

artie

s] w

ill p

rovi

de t

he [

Col

labo

rato

r] O

R

[oth

er Pa

rty]

w

ith [m

onth

ly][

annu

al]

OR

[q

uart

erly

] re

port

s su

mm

aris

ing

the

prog

ress

of

the

Proj

ect

and

a co

py o

f al

l of

the

Res

ults

.

2.9

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill n

otify

the

[Col

labo

rato

r] O

R [

othe

r]

prom

ptly

aft

er i

dent

ifyin

g an

y Res

ult

whi

ch [

the

Inst

itutio

n] O

R [

it] b

elie

ves

is

pate

ntab

le,

and

will

sup

ply

the

[Col

labo

rato

r] O

R [

othe

r] w

ith c

opie

s of

tha

t Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its

cons

titut

ion,

an

d ha

s ta

ken

all

nece

ssar

y ac

tions

an

d ob

tain

ed

all

auth

oris

atio

ns,

licen

ces,

con

sent

s an

d ap

prov

als,

to

allo

w i

t to

ent

er i

nto

and

perf

orm

thi

s Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Fun

ding

Con

ditio

ns].

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal

or c

hem

ical

] m

ater

ial

to t

he o

ther

Pa

rty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

se

para

te

Mat

eria

ls

Tran

sfer

Agr

eem

ent

ente

red

into

be

twee

n th

e Pa

rtie

s in

re

latio

n to

tha

t m

ater

ial.

[2.1

2 If

the

Fun

ding

Con

ditio

ns h

ave

not

alre

ady

been

acc

epte

d by

the

Par

ties,

thi

s Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e Fu

ndin

g Con

ditio

ns

with

in [

30]

days

aft

er t

he d

ate

of t

he F

undi

ng C

ondi

tions

or

offe

r to

pro

vide

Ex

tern

al F

undi

ng.]

[2.1

3 Ea

ch o

f th

e Pa

rtie

s w

ill:

2.13

.1 if

it

is a

par

ty t

o th

e Fu

ndin

g Con

dition

s, c

ompl

y w

ith its

obl

igat

ions

und

er

the

Fund

ing

Con

ditio

ns;

273

2.13

. 2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he F

undi

ng C

ondi

tions

; an

d

2.13

.3 n

otify

the

oth

er P

arty

in

acco

rdan

ce w

ith c

laus

e 10

.1 i

mm

edia

tely

if

it re

ceiv

es a

ny n

otic

e or

req

uest

fro

m t

he F

undi

ng B

ody.

]

2.18

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

[an

d th

e Fu

ndin

g Bod

y]

and

unle

ss t

he a

dditi

onal

per

son,

the

Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.FI

NA

NC

IAL

CO

NT

RIB

UTI

ON

[A

ND

EX

TER

NA

L FU

ND

ING

]

3.1

[The

allo

catio

n of

the

Ext

erna

l Fun

ding

will

be

as s

et o

ut in

the

Pro

ject

Pla

n un

less

th

e Pa

rtie

s un

anim

ousl

y ag

ree

othe

rwis

e in

w

ritin

g.]

[Eac

h Pa

rty

will

ke

ep

com

plet

e an

d ac

cura

te

acco

unts

of

its

ex

pend

iture

on

th

e Pr

ojec

t.]

The

Col

labo

rato

r w

ill p

ay t

he F

inan

cial

Con

trib

utio

n to

the

Ins

titut

ion

in a

ccor

danc

e w

ith S

ched

ule

1 w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt b

y th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

be

ing

clai

med

ag

ains

t co

sts

and

expe

nses

in

curr

ed

by

the

Inst

itutio

n, e

ach

invo

ice

mus

t be

acc

ompa

nied

by

a st

atem

ent

cert

ified

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.2

Unl

ess

any

VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is A

gree

men

t ar

e ex

clus

ive

of V

AT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fr

om t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to an

y ot

her

righ

t or

re

med

y av

aila

ble

to th

e In

stitu

tion,

th

e In

stitu

tion

may

ch

arge

in

tere

st

(bot

h be

fore

an

d af

ter

any

judg

emen

t) o

n th

e am

ount

out

stan

ding

, on

a d

aily

bas

is [

at t

he r

ate

of [

four

] pe

r ce

nt p

er a

nnum

abo

ve t

he L

ondo

n 3

mon

th I

nter

bank

Off

er R

ate

from

tim

e to

tim

e in

for

ce]

OR

[in

acc

orda

nce

with

the

Lat

e Pa

ymen

ts o

f Com

mer

cial

Deb

ts

(Int

eres

t)

Act

19

98

as am

ende

d by

th

e La

te

Paym

ent

of Com

mer

cial

D

ebts

Reg

ulat

ions

201

3].

Tha

t in

tere

st w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or las

t da

te f

or

paym

ent

to

the

actu

al

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e,

and

will

be

co

mpo

unde

d qu

arte

rly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itutio

n on

dem

and.

3.4

[Exc

ept

as

set

out

in

the

Proj

ect

Plan

,]

each

Pa

rty

will

ow

n al

l eq

uipm

ent

purc

hase

d or

con

stru

cted

by

it, o

r fo

r it,

usi

ng t

he F

inan

cial

Con

trib

utio

n[ o

r an

y Ex

tern

al F

undi

ng].

4.U

SE

AN

D E

XP

LOIT

ATI

ON

OF

INTE

LLEC

TUA

L P

RO

PER

TY R

IGH

TS

4.1

This

Agr

eem

ent

does

not

affec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

da

ta,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. Th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

m w

ill r

emai

n th

e pr

oper

ty o

f th

e Pa

rty

whi

ch c

ontr

ibut

ed

them

to

the

Proj

ect

(or

its l

icen

sors

).

No

licen

ce t

o us

e an

y In

telle

ctua

l Pr

oper

ty

Rig

hts

is g

rant

ed o

r im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.2

Each

Par

ty g

rant

s th

e ot

her

a ro

yalty

-fre

e, f

ully

pai

d-up

, no

n-ex

clus

ive

licen

ce t

o us

e its

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

N

eith

er P

arty

may

gr

ant

any

sub-

licen

ce t

o us

e th

e ot

her's

Bac

kgro

und

exce

pt:

4.2.

1 th

at

the

Col

labo

rato

r m

ay

allo

w an

y G

roup

Com

pany

an

d an

y pe

rson

w

orki

ng f

or o

r on

beh

alf

of t

he C

olla

bora

tor

or a

ny G

roup

Com

pany

to

use

the

Inst

itutio

n's

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect;

an

d

4.2.

2 as

per

mitt

ed u

nder

any

fur

ther

lice

nce

gran

ted

purs

uant

to

clau

se 4

.11.

4.3.

1 Th

e In

stitu

tion

will

ow

n th

e In

telle

ctua

l Pro

pert

y Rig

hts

in t

he I

nstit

utio

n’s

Res

ults

, an

d th

e Col

labo

rato

r w

ill o

wn

the

Inte

llect

ual P

rope

rty

Rig

hts

in t

he C

olla

bora

tor’s

Res

ults

; an

d, s

ubje

ct t

o th

e In

stitu

tion’

s ob

ligat

ions

in

clau

se 4

.11.

4, e

ach

[will

ta

ke s

uch

step

s as

may

be

nece

ssar

y] O

R [

may

tak

e su

ch s

teps

as

it m

ay d

ecid

e]

from

tim

e to

tim

e, a

t its

exp

ense

, to

reg

iste

r an

d m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

its

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

ap

plic

atio

ns f

or,

in t

he c

ase

of t

he I

nstit

utio

n, t

he I

nstit

utio

n’s

Res

ults

and

, in

the

ca

se o

f th

e Col

labo

rato

r, t

he C

olla

bora

tor’s

Res

ults

, an

d ta

king

any

act

ion

in

resp

ect

of a

ny a

llege

d or

act

ual i

nfring

emen

t of

any

Int

elle

ctua

l Pro

pert

y Rig

hts

in

its R

esul

ts.

[4.3

.2 W

ithou

t pr

ejud

ice

to its

obl

igat

ions

und

er c

laus

e 4.

3.1,

if

one

of t

he P

artie

s do

es

not

thin

k it

nece

ssar

y to

re

gist

er or

m

aint

ain

any

prot

ectio

n fo

r an

y of

th

e In

telle

ctua

l Pr

oper

ty

Rig

hts

in

its

Res

ults

or

to

ta

ke

any

actio

n ag

ains

t an

y in

frin

ger

of a

ny I

ntel

lect

ual

Prop

erty

Rig

hts

in i

ts R

esul

ts,

it w

ill n

otify

the

oth

er

Part

y ac

cord

ingl

y an

d in

goo

d tim

e be

fore

aba

ndon

ing

any

appl

icat

ion

or b

efor

e fa

iling

to

mee

t an

y de

adlin

e an

d, w

ithou

t pr

ejud

ice

to a

ny o

ther

rig

ht t

hat

a Pa

rty

may

hav

e ag

ains

t th

e ot

her,

the

Par

ty w

hich

cre

ated

tho

se I

ntel

lect

ual

Prop

erty

R

ight

s m

ay t

ake

such

ste

ps a

s it

sees

fit

to r

egis

ter

and

mai

ntai

n an

y pr

otec

tion

for

thos

e In

telle

ctua

l Pr

oper

ty

Rig

hts,

in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

ap

plic

atio

ns f

or a

ny R

esul

t, a

nd t

akin

g an

y ac

tion

in r

espe

ct o

f an

y al

lege

d or

ac

tual

infr

inge

men

t of

tho

se I

ntel

lect

ual P

rope

rty

Rig

hts.

]

4.4

Each

Pa

rty

will

en

sure

th

at

its

empl

oyee

s an

d st

uden

ts

(if

any)

(a

nd

the

Col

labo

rato

r w

ill e

nsur

e th

at t

he e

mpl

oyee

s of

any

Gro

up C

ompa

ny)

invo

lved

in

the

crea

tion

of t

he R

esul

ts o

f th

e ot

her

Part

y gi

ves

the

othe

r Pa

rty

such

ass

ista

nce

(exc

ept

finan

cial

as

sist

ance

) as

th

e ot

her

Part

y m

ay

reas

onab

ly

requ

est

in

conn

ectio

n w

ith t

he r

egis

trat

ion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y of

th

e ot

her

Part

y’s

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

ap

plic

atio

ns f

or a

ny o

f th

e ot

her

Part

y’s

Res

ults

, an

d ta

king

any

act

ion

in r

espe

ct

of a

ny a

llege

d or

act

ual in

frin

gem

ent

of a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

any

of

the

othe

r Pa

rty’

s Res

ults

.

4.5

Whe

re a

ny t

hird

par

ty s

uch

as a

stu

dent

or

cont

ract

or is

or h

as b

een

invo

lved

in

the

Proj

ect,

the

Par

ty e

ngag

ing

that

thi

rd p

arty

will

ens

ure

that

tha

t th

ird

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all r

ight

s w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts in

ord

er t

o be

abl

e to

giv

e ef

fect

to

the

prov

isio

ns o

f th

is c

laus

e 4.

4.6

To t

he e

xten

t th

at a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

the

Ins

titut

ion’

s Res

ults

are

ca

pabl

e of

pro

spec

tive

assi

gnm

ent,

the

Col

labo

rato

r no

w a

ssig

ns t

hose

Int

elle

ctua

l Pr

oper

ty R

ight

s in

the

Ins

titut

ion’

s Res

ults

whi

ch t

he C

olla

bora

tor

owns

to

the

Inst

itutio

n;

and

to

the

exte

nt

that

an

y In

telle

ctua

l Pr

oper

ty

Rig

hts

in

the

Inst

itutio

n’s

Res

ults

can

not

be a

ssig

ned

pros

pect

ivel

y, t

he C

olla

bora

tor

will

ass

ign

the

Inte

llect

ual Pr

oper

ty R

ight

s in

the

Ins

titut

ion’

s Res

ults

whi

ch t

he C

olla

bora

tor

owns

to

the

Inst

itutio

n as

and

whe

n th

ose

Inte

llect

ual P

rope

rty

Rig

hts

are

crea

ted,

at

the

req

uest

of

the

Inst

itutio

n. T

o th

e ex

tent

tha

t an

y In

telle

ctua

l Pr

oper

ty

Rig

hts

in t

he C

olla

bora

tor’s

Res

ults

are

cap

able

of

pros

pect

ive

assi

gnm

ent,

the

In

stitu

tion

now

ass

igns

tho

se I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he C

olla

bora

tor’s

Res

ults

whi

ch t

he I

nstit

utio

n ow

ns t

o th

e Col

labo

rato

r; a

nd t

o th

e ex

tent

any

274

Inte

llect

ual

Prop

erty

Rig

hts

in

the

Col

labo

rato

r’s

Res

ults

ca

nnot

be

as

sign

ed

pros

pect

ivel

y, t

he I

nstit

utio

n w

ill a

ssig

n th

ose

Inte

llect

ual

Prop

erty

Rig

hts

in t

he

Col

labo

rato

r’s

Res

ults

whi

ch t

he I

nstit

utio

n ow

ns t

o th

e Col

labo

rato

r as

and

whe

n th

ose

Inte

llect

ual P

rope

rty

Rig

hts

are

crea

ted,

at

the

requ

est

of t

he C

olla

bora

tor.

4.7

[The

Col

labo

rato

r w

ill

prov

ide

the

Inst

itution

w

ith

such

in

form

atio

n as

th

e In

stitu

tion

may

rea

sona

bly

requ

est

from

tim

e to

tim

e to

dem

onst

rate

tha

t th

e Col

labo

rato

r is

exp

loiti

ng o

r is

tak

ing

reas

onab

le s

teps

tow

ards

exp

loiti

ng t

he

Col

labo

rato

r’s

Res

ults

.

If

the

Col

labo

rato

r do

es

not

dem

onst

rate

th

at

it is

ex

ploi

ting

any

of

the

Col

labo

rato

r’s

Res

ults

or

is t

akin

g re

ason

able

ste

ps t

owar

ds

expl

oiting

the

m,

the

Col

labo

rato

r w

ill,

if re

ques

ted

to d

o so

by

the

Inst

itution

, re

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in t

hose

Res

ults

to

the

Inst

itutio

n.

The

Col

labo

rato

r w

ill n

otify

the

Ins

titut

ion

if th

e Col

labo

rato

r de

cide

s no

t to

pro

ceed

w

ith t

he e

xplo

itatio

n of

any

of

the

Col

labo

rato

r’s

Res

ults

and

will

, if

requ

este

d to

do

so

by t

he I

nstit

utio

n, r

eass

ign

the

Inte

llect

ual P

rope

rty

Rig

hts

in t

hose

Res

ults

to

the

Ins

titut

ion.

]

4.8

The

Inst

itutio

n an

d th

e Col

labo

rato

r ea

ch g

rant

s th

e ot

her

a ro

yalty

fre

e, n

on-

excl

usiv

e lic

ence

to

us

e,

resp

ectiv

ely,

th

e In

stitu

tion’

s Res

ults

an

d th

e Col

labo

rato

r’s

Res

ults

for

the

pur

pose

of

carr

ying

out

the

Pro

ject

[an

d fo

r Clin

ical

Pa

tient

Car

e].

Nei

ther

Par

ty m

ay g

rant

any

sub

-lic

ence

to

use

the

othe

r's

Res

ults

ex

cept

tha

t th

e Col

labo

rato

r m

ay a

llow

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he C

olla

bora

tor

or a

ny G

roup

Com

pany

to

use

the

Inst

itutio

n's

Res

ults

for

the

pur

pose

of ca

rryi

ng o

ut t

he P

roje

ct.

4.9

Des

pite

th

e pr

ovis

ions

of

cl

ause

4.

6, th

e In

stitu

tion

and

each

em

ploy

ee an

d st

uden

t of

the

Ins

titut

ion

will

hav

e th

e irre

voca

ble,

roy

alty

-fre

e righ

t to

use

any

of

the

Col

labo

rato

r’s

Res

ults

[(e

xcep

t th

e fo

llow

ing

type

s of

Res

ult:

[in

sert

det

ails

])

for

Aca

dem

ic a

nd R

esea

rch

Purp

oses

[in

clud

ing]

OR

[ex

clud

ing]

res

earc

h pr

ojec

ts

whi

ch a

re c

arried

out

by

the

Inst

itutio

n w

ith a

ny t

hird

par

ty [

in t

he c

omm

erci

al

sect

or]

[and

Clin

ical

Pat

ient

Car

e].

4.10

Th

e In

stitu

tion

gran

ts t

he C

olla

bora

tor

a ro

yalty

-fre

e, n

on-e

xclu

sive

, w

orld

wid

e,

inde

finite

lic

ence

to

use

the

Inst

itution

’s R

esul

ts f

or R

esea

rch

Purp

oses

(w

ith t

he

righ

t to

sub

-lic

ense

to

any

Gro

up C

ompa

ny a

nd t

o an

y pe

rson

wor

king

for

, or

on

beha

lf of

, th

e Col

labo

rato

r or

any

Gro

up C

ompa

ny,

but

only

for

the

pur

pose

of

carr

ying

out

tha

t w

ork

for

Res

earc

h Pu

rpos

es,

and

othe

rwis

e w

ithou

t th

e righ

t to

su

b-lic

ense

).

4.11

.1 [

The

Inst

itution

and

the

Col

labo

rato

r w

ill,

if th

e Col

labo

rato

r gi

ves

the

Inst

itution

w

ritt

en n

otic

e (a

n O

pti

on

No

tice

) at

any

tim

e du

ring

the

Pro

ject

Per

iod

plus

a

furt

her

[6]

OR

[12

] m

onth

s (t

oget

her

calle

d th

e O

pti

on

Per

iod),

neg

otia

te t

he

term

s on

whi

ch t

he I

nstit

utio

n w

ill g

rant

the

Col

labo

rato

r [a

n ex

clus

ive]

OR

[a

non-

excl

usiv

e]

licen

ce

(with

th

e righ

t to

su

b-lic

ense

) to

us

e th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

cer

tain

of

the

Inst

itutio

n’s

Res

ults

(th

e Li

cen

ce).

[The

Lic

ence

m

ay b

e gr

ante

d by

the

Ins

titut

ion’

s su

bsid

iary

com

pany

, [X

YZ]

Lim

ited.

]

4.11

.2 F

ollo

win

g th

e In

stitu

tion’

s re

ceip

t of

an

Opt

ion

Not

ice,

the

Par

ties

will

neg

otia

te in

go

od f

aith

, fo

r a

period

of

up t

o [9

0 da

ys]

OR

[6

mon

ths]

aft

er t

he d

ate

of r

ecei

pt

of t

he O

ptio

n N

otic

e (t

he

Neg

oti

atio

n P

erio

d)

an a

gree

men

t fo

r th

e gr

ant

of t

he

Lice

nce.

[T

he L

icen

ce w

ill in

clud

e te

rms

base

d on

the

pro

visi

ons

of S

ched

ule

8.]

If

the

Part

ies

are

unab

le t

o ag

ree

the

term

s of

the

Lic

ence

with

in t

he N

egot

iation

Pe

riod,

the

Col

labo

rato

r’s

right

s un

der

clau

ses

4.11

.1, 4.

11.3

and

4.1

1.4

will

laps

e.

4.11

.3 T

he

Inst

itutio

n w

ill

not,

du

ring

th

e O

ptio

n Pe

riod

or

the

Neg

otia

tion

Period

, ne

gotia

te w

ith a

ny o

ther

per

son

with

a v

iew

to

gran

ting

a lic

ence

to

use

its

Res

ults

or

assi

gnin

g th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

its

Res

ults

nor

gra

nt a

li cen

ce t

o us

e th

e In

stitu

tion’

s Res

ults

or

assi

gn t

he I

ntel

lect

ual P

rope

rty

Rig

hts

in

the

Inst

itutio

n’s

Res

ults

to

any

third

part

y. D

urin

g th

e [3

][6]

OR

[12

] m

onth

s fo

llow

ing

the

end

of t

he N

egot

iatio

n Pe

riod

, th

e In

stitu

tion

will

not

gra

nt a

lic

ence

of

any

of

the

Inst

itutio

n’s

Res

ults

to

any

third

part

y on

any

ter

ms

mor

e fa

vour

able

th

an t

hose

offer

ed t

o th

e Col

labo

rato

r pu

rsua

nt t

o th

is c

laus

e 4.

11.

4.11

.4 U

ntil

the

end

of t

he O

ptio

n Pe

riod

and

, if

the

Col

labo

rato

r gi

ves

the

Opt

ion

Not

ice,

un

til th

e ea

rlie

r of

the

end

of

the

Neg

otia

tion

Period

and

the

gra

nt o

f th

e Li

cenc

e,

the

Inst

itutio

n w

ill c

onsu

lt w

ith t

he C

olla

bora

tor

abou

t m

akin

g pa

tent

app

licat

ions

in

res

pect

of

the

Inst

itutio

n’s

Res

ults

. I

f, b

efor

e th

e en

d of

tha

t pe

riod

, th

e Col

labo

rato

r w

ishe

s th

e In

stitu

tion

to a

pply

for

any

pat

ent

in r

elat

ion

to a

ny o

f th

e In

stitu

tion’

s Res

ults

, th

e Col

labo

rato

r w

ill

reim

burs

e to

th

e In

stitu

tion

the

reas

onab

le c

osts

and

exp

ense

s in

curr

ed b

y th

e In

stitu

tion

sin

ce t

he d

ate

of t

his

Agr

eem

ent

in r

elat

ion

to t

he f

iling

and

pro

secu

tion

of t

hat

pate

nt a

pplic

atio

n,

incl

udin

g pa

tent

age

nts'

fee

s, a

s a

resu

lt of

any

req

uest

by

the

Col

labo

rato

r fo

r th

e In

stitu

tion

to a

pply

for

, or

to

mai

ntai

n, a

ny p

aten

t. I

f th

e In

stitu

tion

late

r lic

ense

s or

ass

igns

to

a th

ird

part

y an

y of

the

Ins

titut

ion’

s Res

ults

for

whi

ch t

he

Col

labo

rato

r ha

s pa

id a

ny s

uch

cost

s an

d ex

pens

es,

the

Inst

itution

will

re-

imbu

rse

thos

e co

sts

and

expe

nses

to

the

Col

labo

rato

r.

4.12

[I

f th

e Col

labo

rato

r be

com

es i

nsol

vent

; or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pa

ssed

fo

r its

w

indi

ng

up

(exc

ept

volu

ntar

ily

for

the

purp

ose

of

solv

ent

amal

gam

atio

n or

rec

onst

ruct

ion)

; of

if a

n ad

min

istr

ator

, ad

min

istr

ativ

e re

ceiv

er o

r re

ceiv

er i

s ap

poin

ted

over

the

who

le o

r an

y pa

rt o

f its

ass

ets;

or

if it

mak

es a

ny

arra

ngem

ent

with

its

cre

dito

rs,

it w

ill r

eass

ign

to t

he I

nstit

utio

n th

e In

telle

ctua

l Pr

oper

ty R

ight

s as

sign

ed t

o th

e Col

labo

rato

r un

der

this

Agr

eem

ent.

] O

R [

The

assi

gnm

ent

to t

he C

olla

bora

tor

in t

his

Agr

eem

ent

will

be

limite

d in

dur

atio

n un

til

the

day

befo

re t

he e

arlie

st o

f th

e fo

llow

ing

occu

rs:

the

Col

labo

rato

r be

com

ing

inso

lven

t; a

n or

der

bein

g m

ade

or a

res

olut

ion

bein

g pa

ssed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or r

econ

stru

ctio

n);

an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

bei

ng a

ppoi

nted

ove

r th

e w

hole

or

any

par

t of

its

asse

ts;

or it

mak

ing

any

arra

ngem

ent

with

its

cred

itors

.]

5.A

CA

DE

MIC

PU

BLI

CA

TIO

N A

ND

IM

PA

CT

5.1

The

Proj

ect

is u

nder

take

n by

the

Ins

titut

ion

in p

ursu

ance

of

a pr

imar

y ch

arita

ble

purp

ose

of t

he I

nstit

utio

n; t

hat

is t

he a

dvan

cem

ent

of e

duca

tion

thro

ugh

teac

hing

an

d re

sear

ch.

Ther

efor

e, a

ny e

mpl

oyee

or

stud

ent

of t

he I

nstit

utio

n (i

n ea

ch c

ase

whe

ther

or

not

invo

lved

in

the

Proj

ect)

may

, pr

ovid

ed t

he I

nstit

utio

n ha

s no

t re

ceiv

ed a

Con

fiden

tialit

y N

otic

e un

der

clau

se 5

.2:

5.1.

1 di

scus

s w

ork

unde

rtak

en a

s pa

rt o

f th

e Pr

ojec

t in

Ins

titut

ion

sem

inar

s,

tuto

rial

s an

d le

ctur

es;

and

5.1.

2 Pu

blis

h an

y Bac

kgro

und

of t

he C

olla

bora

tor

or a

ny o

f th

e Res

ults

.

5.2

The

Inst

itution

will

sub

mit

to t

he C

olla

bora

tor,

in

writing

, de

tails

of

any

of t

he

Col

labo

rato

r’s

Res

ults

an

d an

y of

th

e Col

labo

rato

r's

Bac

kgro

und

whi

ch

any

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R

[90]

da

ys

befo

re th

e da

te of

th

e pr

opos

ed su

bmis

sion

fo

r Pu

blic

atio

n.

The

Col

labo

rato

r m

ay,

by g

ivin

g w

ritt

en n

otic

e to

the

Ins

titut

ion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Col

labo

rato

r's

reas

onab

le o

pini

on,

that

del

ay is

nece

ssar

y in

ord

er t

o se

ek

pate

nt o

r ot

her

prot

ectio

n fo

r an

y of

the

Int

elle

ctua

l Pro

pert

y Rig

hts

in a

ny

275

of t

h e C

olla

bora

tor’s

Res

ults

or

in a

ny o

f th

e Col

labo

rato

r's

Bac

kgro

und

whi

ch a

re t

o be

Pub

lishe

d; o

r

5.2.

2 pr

even

t th

e Pu

blic

atio

n of

an

y of

th

e Col

labo

rato

r’s

Res

ults

or

th

e Col

labo

rato

r's

Bac

kgro

und

whi

ch i

s Con

fiden

tial

Info

rmat

ion

and

whi

ch,

in

each

cas

e, c

anno

t be

pro

tect

ed b

y pa

tent

or

othe

r In

telle

ctua

l Pr

oper

ty

Rig

ht r

egis

trat

ion

or w

hich

can

be

prot

ecte

d in

tha

t w

ay b

ut w

hich

the

Col

labo

rato

r ha

s ch

osen

not

to

prot

ect

in t

hat

way

.

The

Col

labo

rato

r m

ust

give

tha

t Con

fiden

tial

ity N

otic

e w

ithin

[15

] O

R [

30]

days

af

ter

the

Col

labo

rato

r re

ceiv

es

deta

ils

of

the

prop

osed

Pu

blic

atio

n.

If

the

Inst

itutio

n do

es

not

rece

ive

a Con

fiden

tialit

y N

otic

e w

ithin

th

at

period

, th

e pr

opos

ed

Publ

icat

ion

may

pr

ocee

d,

[exc

ept

in

rela

tion

to

the

Col

labo

rato

r’s

Bac

kgro

und

whi

ch i

s th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

and

whi

ch m

ay

not

be P

ublis

hed

unle

ss t

he C

olla

bora

tor

has

give

n its

writt

en c

onse

nt t

o th

at

Publ

icat

ion]

.

5.3

The

Col

labo

rato

r ac

know

ledg

es t

hat

the

Inst

itutio

n is

req

uire

d by

its

fun

ders

to

dem

onst

rate

the

Ins

titut

ion’

s im

pact

on

soci

ety

and

agre

es t

o pr

ovid

e to

the

In

stitu

tion

any

info

rmat

ion

whi

ch t

he I

nstit

utio

n re

ason

ably

req

uest

s in

ord

er t

o al

low

it

to d

emon

stra

te t

hat

impa

ct p

rovi

ded

that

, un

der

or p

ursu

ant

to t

his

clau

se:

the

Inst

itutio

n w

ill

not

be

entit

led

to re

ceiv

e or

di

sclo

se

any

of th

e Col

labo

rato

r’s

Con

fiden

tial

Info

rmat

ion

or

any

info

rmat

ion

whi

ch

iden

tifie

s or

al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pur

suan

t to

thi

s cl

ause

will

be

gene

ral i

n na

ture

.

6.C

ON

FID

ENT

IALI

TY

6.1

[With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Fun

ding

Con

ditio

ns,]

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

pa

rty,

nor

use

for

any

pur

pose

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t,

any

of t

he o

ther

Par

ty's

Con

fiden

tial

Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of

the

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial or

not

to

disc

lose

it

to a

ny

third

part

y to

the

ext

ent

that

:

6.2.

1 if

it is

rec

eive

d fr

om t

he o

ther

Par

ty,

it is

kno

wn

to t

he R

ecip

ient

or

any

Gro

up C

ompa

ny (

dem

onst

rabl

e by

writt

en r

ecor

ds)

befo

re its

rec

eipt

fro

m

the

othe

r Pa

rty,

an

d it

is

not

alre

ady

subj

ect

to

any

oblig

atio

n of

co

nfid

ential

ity t

o th

e ot

her

Part

y;

6.2.

2 it

is o

r be

com

es p

ublic

ly k

now

n w

ithou

t an

y br

each

of

this

Agr

eem

ent

or

any

othe

r un

dert

akin

g to

kee

p it

conf

iden

tial

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

entia

lity

owed

to

the

othe

r Pa

rty;

6.2.

4 it

has

been

in

depe

nden

tly

deve

lope

d by

th

e Rec

ipie

nt

or

any

Gro

up

Com

pany

with

out

refe

renc

e to

the

oth

er P

arty

’s C

onfid

ential

Inf

orm

atio

n;

6.2.

5 it

is

disc

lose

d pu

rsua

nt

to

the

requ

irem

ent

of

any

law

or

re

gula

tion

(pro

vide

d, in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of In

form

atio

n Act

20

00 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, no

ne o

f th

e

exc e

ptio

ns t

o th

at A

ct o

r th

ose

Reg

ulat

ions

(as

the

cas

e m

ay b

e) a

pplie

s to

th

e in

form

atio

n di

sclo

sed)

or

pu

rsua

nt

to

the

orde

r of

an

y Cou

rt

of

com

pete

nt j

uris

dict

ion

or t

he r

equi

rem

ent

of a

ny c

ompe

tent

reg

ulat

ory

auth

ority

, an

d th

at,

in e

ach

case

whe

re t

he la

w p

erm

its,

the

Part

y re

quired

to

mak

e th

at d

iscl

osur

e ha

s in

form

ed t

he o

ther

Par

ty,

with

in a

rea

sona

ble

time

afte

r be

ing

requ

ired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t an

d th

e in

form

atio

n re

quired

to

be d

iscl

osed

; or

6.2.

6 it

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.3

The

Inst

itutio

n w

ill

not

be

in

brea

ch

of

any

oblig

atio

n to

ke

ep

any

of

the

Col

labo

rato

r's

Bac

kgro

und,

Res

ults

or

othe

r in

form

atio

n, c

onfid

ential

or

not

to

disc

lose

it t

o an

y th

ird

part

y, b

y:

6.3.

1 [e

xcep

t in

re

latio

n to

th

e Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n,]

Publ

ishi

ng i

t if

the

Inst

itutio

n ha

s fo

llow

ed t

he p

roce

dure

in

clau

se 5

.2 a

nd h

as r

ecei

ved

no C

onfid

entia

lity

Not

ice

with

in t

he p

erio

d st

ated

in t

hat

clau

se;

or

6.3.

2 m

akin

g th

em a

vaila

ble

to a

ny s

tude

nt o

f th

e In

stitu

tion

who

nee

ds t

o kn

ow

the

sam

e in

or

der

to

exer

cise

th

e righ

ts

gran

ted

in

this

Agr

eem

ent,

pr

ovid

ed

they

ar

e no

t us

ed

exce

pt

as

expr

essl

y pe

rmitt

ed

by

this

Agr

eem

ent

and

the

stud

ent

unde

rtak

es t

o ke

ep t

hat

Bac

kgro

und,

tho

se

Res

ults

and

tha

t in

form

atio

n co

nfid

entia

l.

6.4

The

Col

labo

rato

r w

ill no

t be

in

br

each

of

an

y ob

ligat

ion

to k

eep

any

of th

e In

stitu

tion'

s Bac

kgro

und,

Res

ults

or

ot

her

info

rmat

ion,

co

nfid

ential

or

no

t to

di

sclo

se

them

to

an

y th

ird

part

y,

by

mak

ing

them

av

aila

ble

to

any

Gro

up

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

the

Col

labo

rato

r or

any

Gro

up

Com

pany

, w

ho n

eeds

to

know

the

sam

e in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

th

is A

gree

men

t, p

rovi

ded

they

are

not

use

d ex

cept

as

expr

essl

y pe

rmitt

ed b

y th

is

Agr

eem

ent

and

reci

pien

t un

dert

akes

to

keep

the

m c

onfid

entia

l.

6.5

[Nei

ther

Par

ty w

ill b

e in

bre

ach

of a

ny o

blig

atio

n to

kee

p an

y of

the

oth

er P

arty

’s

Con

fiden

tial

Inf

orm

atio

n, c

onfid

entia

l or

not

to

disc

lose

it

to a

ny t

hird

par

ty b

y di

sclo

sing

it t

o th

e Fu

ndin

g Bod

y in

acc

orda

nce

with

the

Fun

ding

Con

ditio

ns.]

6.6

If t

he I

nstit

utio

n re

ceiv

es a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 or

th

e En

viro

nmen

tal I

nfor

mat

ion

Reg

ulat

ions

200

4 to

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n, i

t w

ill n

otify

th

e Col

labo

rato

r an

d w

ill

cons

ult

with

th

e Col

labo

rato

r pr

ompt

ly

and,

be

fore

m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or

thos

e Reg

ulat

ions

, th

e In

stitu

tion,

whe

re

appr

opriat

e, w

ill t

ake

lega

l ad

vice

reg

ardi

ng t

he a

vaila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

and

will

not

ify t

he C

olla

bora

tor

of

the

inte

nded

re

spon

se

to

that

re

ques

t.

The

Col

labo

rato

r w

ill

resp

ond

to

the

Inst

itutio

n w

ithin

10

days

aft

er r

ecei

ving

the

Ins

titut

ion’

s no

tice

if th

at n

otic

e re

ques

ts

the

Col

labo

rato

r to

pr

ovid

e in

form

atio

n to

as

sist

th

e In

stitu

tion

to

dete

rmin

e w

heth

er o

r no

t an

exe

mpt

ion

to t

he F

reed

om o

f In

form

atio

n Act

200

0 or

the

Env

ironm

enta

l In

form

atio

n Reg

ulat

ions

200

4 ap

plie

s to

the

inf

orm

atio

n re

ques

ted

unde

r th

at

Act

or

th

ose

Reg

ulat

ions

. Th

e Col

labo

rato

r m

ay

mak

e re

pres

enta

tions

in

rela

tion

to t

hat

requ

est

and

the

prop

osed

res

pons

e an

d m

ay

requ

est

amen

dmen

ts t

o th

e pr

opos

ed r

espo

nse.

[At

the

Col

labo

rato

r’s

requ

est,

ex

cept

in o

rder

to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

the

Info

rmat

ion

Com

mis

sion

er o

r th

e In

form

atio

n Tr

ibun

al,

the

Inst

itutio

n w

ill n

ot d

iscl

ose

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

276

Info

rmat

ion

in r

espo

nse

to a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 or

the

Env

iron

men

tal I

nfor

mat

ion

Reg

ulat

ions

200

4 pr

ovid

ed t

hat:

6.6.

1 th

e Col

labo

rato

r m

akes

th

at

requ

est

in

writin

g w

ithin

10

da

ys

afte

r re

ceiv

ing

the

Inst

itution

’s n

otic

e gi

ven

unde

r th

is c

laus

e 6.

6; a

nd

6.6.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

P

arti

es),

an

d ke

eps

them

fu

lly

and

effe

ctiv

ely

inde

mni

fied,

ag

ains

t ea

ch

and

ever

y cl

aim

m

ade

agai

nst

any

of

the

Inde

mni

fied

Part

ies

as a

res

ult

of t

he I

nstit

utio

n no

t m

akin

g an

y di

sclo

sure

of

th

e Col

labo

rato

r’s

Con

fiden

tial

info

rmat

ion

in re

spon

se to

a

requ

est

unde

r th

e Fr

eedo

m

of

Info

rmat

ion

Act

20

00

or

the

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4.]

6.7

Nei

ther

Par

ty w

ill u

se t

he o

ther

’s n

ame

or t

he n

ame

of a

ny o

f th

e Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

log

o in

any

pre

ss r

elea

se o

r pr

oduc

t ad

vert

isin

g, o

r fo

r an

y ot

her

prom

otio

nal pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y's

writ

ten

cons

ent.

6.8

[Not

with

stan

ding

an

y ot

her

prov

isio

n of

th

is

Agr

eem

ent,

th

e In

stitu

tion

may

id

entif

y th

e su

ms

rece

ived

fro

m t

he C

olla

bora

tor

in t

he I

nstit

utio

n’s

Ann

ual R

epor

t an

d si

mila

r pu

blic

atio

ns][

, an

d th

e Col

labo

rato

r m

ay,

in o

rder

to

com

ply

with

any

tr

ansp

aren

cy r

epor

ting

oblig

atio

ns t

o w

hich

it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.LI

MIT

AT

ION

OF

LIA

BIL

ITY

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

em

ploy

ees

invo

lved

in

the

Proj

ect

or l

ikel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed i

n th

e Pr

ojec

t],

but

not

havi

ng m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r)

any

advi

ce o

r in

form

atio

n gi

ven

by it

or a

ny o

f its

em

ploy

ees

or

stud

ents

w

ho

wor

k on

th

e Pr

ojec

t,

or

the

cont

ent

or

use

of

any

Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ection

with

the

Pr

ojec

t, w

ill n

ot c

onst

itute

or

resu

lt in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

OR

7.1

Nei

ther

of

the

Part

ies

[exc

ept

unde

r cl

ause

7.1

0] m

akes

any

rep

rese

ntat

ion

or

give

s an

y w

arra

nty

to t

he o

ther

tha

t an

y ad

vice

or

info

rmat

ion

give

n by

it o

r an

y of

its

em

ploy

ees

or s

tude

nts

who

wor

k or

hav

e w

orke

d on

the

Pro

ject

, or

the

co

nten

t or

use

of

any

Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

co

nnec

tion

with

th

e Pr

ojec

t,

will

no

t co

nstit

ute

or

resu

lt in

an

y in

frin

gem

ent

of t

hird

par

ty r

ight

s.

7.2

Exce

pt u

nder

the

war

rant

[y][

ies]

in

clau

se[s

] [7

.1 a

nd]

7.10

and

the

ind

emni

ties

in c

laus

es [

6.6,

]7.

3 an

d 7.

4, a

nd s

ubje

ct t

o cl

ause

7.8

, ne

ither

Par

ty a

ccep

ts a

ny

liabi

lity

or r

espo

nsib

ility

for

any

use

whi

ch m

ay b

e m

ade

by t

he o

ther

Par

ty o

f an

y of

the

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

the

Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

.

7.3

Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] (

the

Ind

emn

ifyi

ng

P

arty

) w

ill i

ndem

nify

the

oth

er P

arty

, an

d its

em

ploy

ees

and

stud

ents

(to

geth

er

the

Ind

emn

ifie

d

Par

ties

), an

d ke

ep th

em f

ully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

re

sult

of t

he I

ndem

nify

ing

Part

y’s

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

, an

d an

y

mat

e ria

ls,

wor

ks o

r in

form

atio

n re

ceiv

ed f

rom

the

Ind

emni

fied

Part

ies

purs

uant

to

this

Agr

eem

ent,

pro

vide

d th

at t

he I

ndem

nifie

d Pa

rty

mus

t:

7.3.

1 pr

ompt

ly n

otify

the

Ind

emni

fyin

g Pa

rty

of d

etai

ls o

f th

e cl

aim

;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te its

los

ses

and

expe

nses

aris

ing

from

the

cl

aim

;

7.3.

4 al

low

th

e In

dem

nify

ing

Part

y to

ha

ve th

e co

nduc

t of

th

e de

fenc

e an

d se

ttle

men

t of

the

cla

im;

and

7.3.

5 gi

ve t

he I

ndem

nify

ing

Part

y al

l rea

sona

ble

assi

stan

ce (

at t

he I

ndem

nify

ing

Part

y’s

expe

nse)

in d

ealin

g w

ith t

he c

laim

.

The

inde

mni

ty in

this

cla

use

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a r

esul

t of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, t

he

delib

erat

e br

each

of

this

Agr

eem

ent

or i

ts k

now

ing

infr

inge

men

t of

any

thi

rd

part

y’s

Inte

llect

ual

Prop

erty

Rig

hts

or i

ts k

now

ing

brea

ch o

f an

y th

ird

part

y’s

righ

ts o

f co

nfid

ence

.

7.4

Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all

cost

s, c

laim

s, d

eman

ds,

expe

nses

an

d lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

it o

f Sch

edul

e 6.

7.5

Sub

ject

to

clau

ses

7.7

and

7.8,

and

exc

ept

unde

r th

e in

dem

nitie

s in

cla

uses

[6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

thi

s Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot e

xten

d to

:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

;

7.5.

2 an

y lo

ss of

pr

ofits

, lo

ss o

f re

venu

e, lo

ss of

da

ta,

loss

of

con

trac

ts o

r op

port

unity

, w

heth

er d

irec

t or

indi

rect

,

even

, in

eac

h ca

se,

if th

e Pa

rty

brin

ging

the

cla

im h

as a

dvis

ed t

he o

ther

of

the

poss

ibili

ty o

f th

ose

loss

es,

or if

the

y w

ere

with

in t

he o

ther

Par

ty's

con

tem

plat

ion.

7.6

Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

oth

er

for

all a

nd a

ny b

reac

hes

of t

his

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er

way

out

of

the

subj

ect

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill

not

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n][t

he p

ortio

n of

the

Ext

erna

l Fun

ding

al

loca

ted

to t

hat

Part

y] O

R [

£ins

ert

figur

e].

7.7

Sub

ject

in

each

cas

e to

cla

use

7.8,

the

agg

rega

te l

iabi

lity

of e

ach

Part

y to

the

ot

her:

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

;

7.7.

2 un

der

the

inde

mni

ty in

clau

se 7

.4 w

ill n

ot e

xcee

d in

tot

al £

[ins

ert

figur

e];

and

[7.7

.3 f

or a

ll an

d an

y br

each

es o

f th

e Fu

ndin

g Con

ditio

ns w

ill n

ot e

xcee

d in

tot

al

[the

am

ount

of

the

Exte

rnal

Fun

ding

]].

277

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

whi

ch,

by l

aw,

cann

ot b

e lim

ited

or

excl

uded

; or

7.8.

3 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.9

The

expr

ess

unde

rtak

ings

and

war

rant

ies

give

n by

the

Par

ties

in t

his

Agr

eem

ent

are

in li

eu o

f al

l oth

er w

arra

ntie

s, c

ondi

tions

, te

rms,

und

erta

king

s an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on la

w,

cust

om,

trad

e us

age,

cou

rse

of d

ealin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

.

7.10

[A

ny a

ssig

nmen

t of

Int

elle

ctua

l Pr

oper

ty R

ight

s m

ade

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

is m

ade

or w

ill b

e m

ade

with

ful

l tit

le g

uara

ntee

.] O

R [

Each

of

the

Part

ies

war

rant

s to

eac

h th

e ot

her

Part

y th

at,

in r

elat

ion

to a

ny a

ssig

nmen

t of

In

telle

ctua

l Pro

pert

y Rig

hts

mad

e by

it u

nder

or

purs

uant

to

this

Agr

eem

ent:

7.10

.1 t

he

Part

y m

akin

g th

at

assi

gnm

ent

has

the

righ

t to

di

spos

e of

th

ose

Inte

llect

ual

Prop

erty

Rig

hts

and

that

it

will

, at

its

ow

n co

st,

do a

ll th

at i

t re

ason

ably

can

to

give

the

titl

e w

hich

it p

urpo

rts

to g

ive;

and

7.10

.1 t

hat

the

Inte

llect

ual P

rope

rty

Rig

hts

assi

gned

are

fre

e fr

om a

ll ch

arge

s an

d en

cum

bran

ces

and

right

s of

any

thi

rd p

arty

(ex

cept

tho

se o

f w

hich

the

Pa

rty

mak

ing

that

as

sign

men

t is

un

awar

e or

of

w

hich

it

coul

d no

t re

ason

ably

be

awar

e).]

8.FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

dela

yed

or p

reve

nted

by

circ

umst

ance

s be

yond

its r

easo

nabl

e co

ntro

l, th

at P

arty

will

not

be

in b

reac

h of

thi

s Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce la

sts

for

mor

eth

an [

3] O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ithim

med

iate

eff

ect

by gi

ving

writt

en no

tice

to t

he P

arty

w

hose

pe

rfor

man

ce is

dela

yed

or p

reve

nted

.

9.TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

the

oth

er P

arty

if t

he o

ther

Par

ty:

9.1.

1 is

in

brea

ch o

f an

y pr

ovis

ion

of t

his

Agr

eem

ent

and

(if

it is

cap

able

of

rem

edy)

the

bre

ach

has

not

been

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

af

ter

rece

ipt

of

writt

en

notic

e sp

ecify

ing

the

brea

ch

and

requ

irin

g its

re

med

y;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

app

oint

ed o

ver

the

who

le o

r an

y pa

rt o

f th

e ot

her

Part

y's

asse

ts,

or i

f th

e ot

her

Part

y m

akes

any

arr

ange

men

t w

ith it

s cr

edito

rs;

or

9.1.

3 co

mm

its a

ny b

reac

h of

Sch

edul

e 5

[or

Sch

edul

e 7]

.

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Pro

ject

. W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

w

ho or

igin

ally

ap

poin

ted

that

m

embe

r of

th

e Key

Pe

rson

nel

will

no

min

ate

a su

cces

sor.

Th

e ot

her

Part

y w

ill n

ot u

nrea

sona

bly

refu

se t

o ac

cept

the

nom

inat

ed

succ

esso

r, b

ut if

the

succ

esso

r is

not

acc

epta

ble

to t

he o

ther

Par

ty o

n re

ason

able

gr

ound

s, o

r if

the

appo

into

r ca

nnot

fin

d a

succ

esso

r, e

ither

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t by

giv

ing

the

othe

r no

t le

ss t

han

[3]

mon

ths'

not

ice.

9.7

[The

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time,

pr

ovid

ed

the

Col

labo

rato

r co

mpl

ies

with

cl

ause

s 9.

6 an

d 9.

7,

by gi

ving

no

t le

ss

than

[3

] m

onth

s' n

otic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

(su

bjec

t to

cla

use

9.5)

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

, 9.

8 an

d 10

w

ill s

urvi

ve t

he c

ompl

etio

n of

the

Pro

ject

or

the

term

inat

ion

of t

his

Agr

eem

ent

for

any

reas

on a

nd w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct i

ndef

inite

ly o

r, i

n th

e ca

se o

f cl

ause

6, in

acc

orda

nce

with

cla

use

6.1.

9.5

On

the

term

inat

ion

of t

his

Agr

eem

ent

unde

r cl

ause

8,

9.1,

9.2

or

9.3

all r

ight

s an

d lic

ence

s gr

ante

d by

on

e Pa

rty

to

the

othe

r Pa

rty

unde

r or

pu

rsua

nt to

th

is

Agr

eem

ent

will

aut

omat

ical

ly t

erm

inat

e, e

xcep

t:

9.5.

1 an

y righ

ts t

o us

e an

y Res

ults

or

Bac

kgro

und

for

Acad

emic

and

Res

earc

h Pu

rpos

es;

9.5.

2 an

y righ

t to

Pub

lish

in a

ccor

danc

e w

ith c

laus

e 5;

and

9.5.

3 an

y righ

ts t

o us

e an

y Res

ults

or

Bac

kgro

und

for

Res

earc

h Pu

rpos

es.

9.6

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

bef

ore

term

inat

ion

[and

not

cov

ered

by

the

Exte

rnal

Fun

ding

]. I

f te

rmin

atio

n oc

curs

pu

rsua

nt

to

clau

se 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

w

hich

th

e In

stitu

tion

has

incu

rred

or

agre

ed t

o in

cur

and

whi

ch t

he I

nstit

utio

n is

una

ble

to c

ance

l.

9.7

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

[by

the

Inst

itutio

n] u

nder

cla

use

9.1

or 9

.2 [

or b

y th

e Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n is

in

tend

ed t

o co

ver

the

cost

s of

em

ploy

ing

any

Inst

itutio

n st

aff

invo

lved

in

the

Proj

ect,

the

Col

labo

rato

r w

ill c

ontin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

th

e ac

tual

direc

t em

ploy

men

t co

sts

of s

taff w

ho w

ere

appo

inte

d by

the

Ins

titut

ion

to

wor

k on

th

e Pr

ojec

t be

fore

th

e se

rvic

e of

th

e no

tice,

pr

ovid

ed

that

th

e In

stitu

tion

take

s al

l re

ason

able

ste

ps t

o m

inim

ise

thos

e co

sts.

Rei

mbu

rsem

ent

will

con

tinue

unt

il th

e ef

fect

ive

date

of

term

inat

ion

of e

ach

staf

f co

ntra

ct o

r th

e da

te o

n w

hich

the

Pro

ject

was

to

have

end

ed (

whi

chev

er i

s th

e ea

rlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

inc

lude

a p

ropo

rtio

n of

any

red

unda

ncy

cost

s w

hich

ha

ve b

een

incu

rred

by

the

Inst

itution

as

a di

rect

res

ult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

th

at

prop

ortio

n to

be

ca

lcul

ated

by

di

vidi

ng

the

indi

vidu

al’s

in

volv

emen

t in

the

Pro

ject

by

the

dura

tion

of h

is p

erio

d of

em

ploy

men

t by

the

In

stitu

tion.

9.8

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hole

of

th

at co

ntribu

tion

has

not,

by

the

en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

purp

oses

for

w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GEN

ERA

L

278

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

writing

, m

ust

be d

eliv

ered

to

the

othe

r Pa

rty

by a

ny o

f th

e m

etho

ds s

et o

ut i

n th

e le

ft h

and

colu

mn

belo

w,

and

will

be

deem

ed t

o be

rec

eive

d on

the

cor

resp

ondi

ng d

ay s

et

out

in t

he r

ight

han

d co

lum

n:

Met

ho

d o

f se

rvic

e

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

the

day

of d

eliv

ery

By

pre-

paid

first

cla

ss p

ost

the

seco

nd B

usin

ess

Day

aft

er p

ostin

g

By

reco

rded

del

iver

y po

st

the

next

Bus

ines

s D

ay a

fter

pos

ting

The

Part

ies'

res

pect

ive

repr

esen

tativ

es f

or t

he r

ecei

pt o

f no

tices

are

, un

til c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

For

the

Inst

itu

tio

n:

For

the

Co

llab

ora

tor:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it

, w

ithou

t fir

st o

btai

ning

the

writt

en c

onse

nt

of t

he o

ther

Par

ty[,

exc

ept

that

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a

who

le t

o a

Gro

up C

ompa

ny w

ithou

t th

e co

nsen

t of

the

Ins

titut

ion]

. N

eith

er P

arty

w

ill u

nrea

sona

bly

with

hold

or

dela

y its

con

sent

.

10.3

Il

leg

al/

un

enfo

rcea

ble

pro

visi

on

s:

If t

he w

hole

or

any

part

of

any

prov

isio

n of

th

is A

gree

men

t is

voi

d or

une

nfor

ceab

le in

any

jur

isdi

ctio

n, t

he o

ther

pro

visi

ons

of

this

Agr

eem

ent,

and

the

res

t of

the

voi

d or

une

nfor

ceab

le p

rovi

sion

, w

ill c

ontinu

e in

for

ce in

that

jur

isdi

ctio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on in

any

othe

r ju

risd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

the

oth

er P

arty

, or

fai

ls t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

con

stitu

te a

wai

ver

of t

hat

righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a f

utur

e oc

casi

on.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em of

pr

inci

pal

and

agen

t. N

eith

er Pa

rty

has

any

auth

ority

to

m

ake

any

repr

esen

tatio

n or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

[and

the

Fun

ding

Con

dition

s] c

onst

itute

[s]

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to i

ts s

ubje

ct m

atte

r.

Each

Pa

rty

ackn

owle

dges

tha

t it

has

not

ente

red

into

thi

s Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t, a

gree

men

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch P

arty

wai

ves

any

clai

m f

or b

reac

h of

th

is

Agr

eem

ent,

or

an

y righ

t to

re

scin

d th

is

Agr

eem

ent

in

resp

ect

of,

any

repr

esen

tatio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

lia

bilit

y w

hich

a P

arty

may

hav

e to

the

oth

er (

or

any

righ

t w

hich

a P

arty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in

resp

ect

of a

ny

frau

dule

nt m

isre

pres

enta

tion

or f

raud

ulen

t co

ncea

lmen

t be

fore

the

sig

ning

of

this

Agr

eem

ent.

10.7

Fo

rmal

itie

s:

Each

Pa

rty

will

ta

ke

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly r

equi

red

by t

he o

ther

Par

ty t

o gi

ve e

ffec

t to

any

of

its r

ight

s un

der

this

Agr

eem

ent,

or

to e

nabl

e th

eir

regi

stra

tion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e Pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit c

onfe

rred

by

this

Agr

eem

ent,

unl

ess

this

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

un

der

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Ag

reem

ent

and

any

disp

ute

or cl

aim

(i

nclu

ding

no

n-co

ntra

ctua

l dis

pute

s or

cla

ims)

arisi

ng o

ut o

f or

in c

onne

ctio

n w

ith it

or

its s

ubje

ct

mat

ter

or f

orm

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch

has

aris

en o

r m

ay a

rise

out

of

or in

con

nect

ion

with

thi

s Agr

eem

ent,

exc

ept

that

a

Part

y m

ay

brin

g pr

ocee

ding

s to

pr

otec

t its

In

telle

ctua

l Pr

oper

ty

Rig

hts

or

Con

fiden

tial

Inf

orm

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny is

sue

conc

erni

ng

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne P

arty

has

not

ified

the

oth

er

of t

hat

issu

e, t

hey

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

In

stitu

tion,

and

to

[ins

ert

offic

er]

in t

he c

ase

of t

he C

olla

bora

tor

in a

n at

tem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pr

ocee

ding

s in

acc

orda

nce

with

cla

use

10.1

0 if

the

mat

ter

has

not

been

res

olve

d w

ithin

tha

t [1

4] d

ay p

erio

d, a

nd a

Par

ty m

ay b

ring

pro

ceed

ings

to

prot

ect

its

Inte

llect

ual

Prop

erty

R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

iction

, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

.

10.1

2 A

nti

-Bri

ber

y: E

ach

Part

y w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 5.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch P

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

6.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

[I

f th

at m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

orig

inal

of

the

exec

uted

cou

nter

part

as

soon

as

poss

ible

.]

[10.

15 E

xpo

rt

Co

ntr

ol:

ea

ch

Part

y w

ill

com

ply

with

ap

plic

able

U

K

expo

rt

cont

rol

legi

slat

ion

and

regu

lation

s. E

ach

Part

y w

ill c

ompl

y w

ith t

he s

peci

fic c

ondi

tions

of

any

US e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in

writing

and

whi

ch a

re a

pplic

able

to

it.]

279

SIG

NED

on

beha

lf of

the

Ins

titut

ion:

Nam

e: …

……

……

……

……

……

……

……

Posi

tion:

……

……

……

……

……

……

……

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Sig

natu

re:

……

……

……

……

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SIG

NED

on

beha

lf of

the

Col

labo

rato

r:

Nam

e: …

……

……

……

……

……

……

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tion:

……

……

……

……

……

……

……

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Sig

natu

re:

……

……

……

……

……

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……

…

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d an

d un

ders

tood

by

the

Prin

cipa

l Rea

d an

d un

ders

tood

by

the

Inve

stig

ator

Col

labo

rato

r’s

Sup

ervi

sor

……

……

……

……

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……

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natu

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natu

re

……

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D

ate

Dat

e]

SC

HED

ULE

1

Th

e Fi

nan

cial

Co

ntr

ibu

tio

n

280

SC

HED

ULE

2

The

Pro

ject

Pla

n

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Loca

tio

n

Bac

kg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Task

s to

be

carr

ied

ou

t b

y ea

ch P

arty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cilit

ies

and

eq

uip

men

t ea

ch P

arty

is t

o p

rovi

de

Res

ult

s A

nti

cip

ated

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s

[SC

HED

ULE

3

The

Fun

din

g C

on

dit

ion

s]

281

SC

HED

ULE

4

Goo

d D

ata

Man

agem

ent

Pra

ctic

es

1.Res

earc

h da

ta

mus

t be

ge

nera

ted

usin

g so

und

scie

ntifi

c te

chni

ques

an

dpr

oces

ses;

2.Res

earc

h da

ta m

ust

be a

ccur

atel

y re

cord

ed i

n ac

cord

ance

with

goo

d sc

ient

ific

prac

tices

by

the

peop

le c

ondu

ctin

g th

e re

sear

ch;

3.Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in

acco

rdan

cew

ith g

ood

scie

ntifi

c pr

actic

es;

4.Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.D

ata

trai

ls m

ust

be k

ept

to a

llow

peo

ple

to d

emon

stra

te e

asily

and

to

reco

nstr

uct

key

deci

sion

s m

ade

duri

ng t

he c

ondu

ct o

f th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.Ea

ch P

arty

mus

t ha

ve t

he r

ight

, on

not

less

tha

n [3

0] d

ays’

writ

ten

notic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

esan

d pr

oced

ures

.

SC

HED

ULE

5

An

ti-B

rib

ery

1.Ea

ch P

arty

will

, in

con

nect

ion

with

the

Pro

ject

:

1.1

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or i

tsac

tiviti

es an

d w

hich

re

late

to

an

ti-br

iber

y or

an

ti-co

rrup

tion

(o

r bo

th),

in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

the

Brib

ery

Act

201

0 if

it ha

d be

en c

arried

out

in t

he U

nite

d K

ingd

om;

1.3

have

po

licie

s an

d pr

oced

ures

(i

nclu

ding

ad

equa

te

proc

edur

es

as

dete

rmin

ed i

n ac

cord

ance

with

sec

tion

7(2)

of

the

Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed u

nder

sec

tion

9 of

tha

t Act

) to

ens

ure

com

plia

nce

with

pa

ragr

aphs

1.1

and

1.2

abo

ve;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 1

.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

Par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er P

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.7

keep

acc

urat

e an

d up

to

date

rec

ords

and

boo

ks o

f ac

coun

t sh

owin

g al

l pa

ymen

ts m

ade

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

co

mpl

ianc

e w

ith t

his

Sch

edul

e.);

and

1.8

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

an

d to

cop

y th

ose

reco

rds

and

acco

unts

and

to

mee

t w

ith its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.Ea

ch Pa

rty

will

en

sure

th

at an

y pe

rson

as

soci

ated

w

ith it

(as

dete

rmin

ed

inac

cord

ance

with

sec

tion

8 of

the

Bribe

ry A

ct 2

010

and

para

grap

h 4

belo

w)

who

isin

volv

ed i

n th

e Pr

ojec

t, i

s in

volv

ed i

n th

e Pr

ojec

t on

ly o

n th

e ba

sis

of a

writt

enco

ntra

ct w

hich

impo

ses

on t

hat

pers

on t

erm

s eq

uiva

lent

to

thos

e im

pose

d on

tha

tPa

rty

in t

his

Sch

edul

e.

3.Ea

ch P

arty

will

ens

ure

that

eac

h pe

rson

ref

erre

d to

in p

arag

raph

2 a

bove

com

plie

sw

ith t

erm

s eq

uiva

lent

to

the

term

s im

pose

d by

thi

s Sch

edul

e, a

nd w

ill b

e lia

ble

toth

e ot

her

Part

y fo

r an

y br

each

by

that

per

son

of a

ny o

f th

ose

term

s.

4.A p

erso

n as

soci

ated

with

a P

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

com

pani

es a

nd s

ubco

ntra

ctor

s an

d th

eir

resp

ectiv

e em

ploy

ees.

282

SC

HED

ULE

6

D

ata

Pro

tect

ion

W

here

a P

arty

(th

e D

ata

Pro

cess

or)

Pro

cess

es a

ny P

erso

nal D

ata

on b

ehal

f of

the

oth

er

Part

y (t

he

Dat

a C

on

tro

ller)

, th

e pr

ovis

ions

of th

is S

ched

ule

will

app

ly.

1.

The

Par

ty w

hich

car

ries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a, a

nd t

he D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at

Pers

onal

D

ata

in

acco

rdan

ce

with

th

e D

ata

Prot

ectio

n Le

gisl

atio

n, a

ffor

ding

to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

w

ould

ha

ve

wer

e th

eir

Pers

onal

D

ata

bein

g Pr

oces

sed

by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly i

n ac

cord

ance

with

the

Dat

a Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riate

to

ensu

re

the

secu

rity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

, co

mpl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o, in

form

atio

n ab

out,

and

the

rec

tific

atio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

en

quiry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al D

ata

bein

g Pr

oces

sed

for

the

Dat

a Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

th

at

requ

est

or

enqu

iry

as

the

Dat

a Con

trol

ler

may

re

ason

ably

re

ques

t,

and

not

resp

ond

to

any

such

re

ques

t or

en

quiry

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph

1 ab

ove,

an

d w

ill

give

th

e D

ata

Con

trol

ler

any

assi

stan

ce

whi

ch

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(a

nd n

ot d

efin

ed e

lsew

here

in t

his

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in

the

Dat

a Pr

otec

tion

Legi

slat

ion.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n,

in

part

icul

ar,

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

com

ply

with

any

req

uire

men

t or

rec

omm

enda

tion

of t

he I

nfor

mat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

to

the

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue in

full

forc

e an

d ef

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

th

e D

ata

Con

trol

ler,

not

with

stan

ding

the

ter

min

atio

n of

thi

s Agr

eem

ent

or t

he

com

plet

ion

of t

he P

roje

ct.

6.

The

Dat

a Pr

oces

sor

will

in

dem

nify

th

e D

ata

Con

trol

ler

and

keep

th

e D

ata

Con

trol

ler

fully

and

eff

ectiv

ely

inde

mni

fied

on d

eman

d ag

ains

t al

l co

sts,

cla

ims,

de

man

ds,

expe

nses

and

lia

bilit

ies

of a

ny n

atur

e ar

isin

g ou

t of

or

in c

onne

ctio

n w

ith a

ny b

reac

h by

the

Dat

a Pr

oces

sor

of t

his

Sch

edul

e.

OR

W

here

bot

h Pa

rtie

s de

term

ine

the

purp

ose

of t

he P

roce

ssin

g in

res

pect

of

any

Pers

onal

D

ata

whi

ch is

Pro

cess

ed in

the

cou

rse

of o

r fo

r th

e pu

rpos

e of

the

Pro

ject

, th

e pr

ovis

ions

of

thi

s Sch

edul

e w

ill a

pply

.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch it

Pro

cess

es

in c

onne

ctio

n w

ith t

he P

roje

ct.

It w

ill:

1.1

Proc

ess

that

Per

sona

l Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal m

easu

res

as m

ay b

e ap

prop

riate

to

ensu

re

the

secu

rity

of

th

at

Pers

onal

D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

of

ficer

s an

d ag

ents

w

ho m

ay ha

ve ac

cess

to

, or

be

in

volv

ed in

, th

e Pr

oces

sing

of

that

Per

sona

l Dat

a.

With

out

prej

udic

e to

the

ge

nera

lity

of t

he f

oreg

oing

, it

will

kee

p th

at P

erso

nal D

ata

secu

re f

rom

any

un

auth

oris

ed

or

acci

dent

al

use,

ac

cess

, di

sclo

sure

, da

mag

e,

loss

or

de

stru

ctio

n;

1.

4 gi

ve th

e ot

her

Part

y su

ch

info

rmat

ion

and

assi

stan

ce as

it

reas

onab

ly

requ

ires

in o

rder

to

enab

le t

he o

ther

Par

ty it

to

mee

t its

obl

igat

ions

to

Dat

a Sub

ject

s, i

n pa

rtic

ular

, co

mpl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss

to,

info

rmat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir

Pers

onal

Dat

a;

1.

5 no

tify

the

othe

r Pa

rty

imm

edia

tely

sho

uld

it re

ceiv

e an

y re

ques

t or

enq

uiry

fr

om a

ny D

ata

Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er P

arty

suc

h as

sist

ance

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

it m

ay r

easo

nabl

y re

ques

t;

1.

6 no

tify

the

othe

r Pa

rty

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch i

nvol

ves

that

Per

sona

l D

ata

or b

reac

h of

thi

s pa

ragr

aph

1;

and

283

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e rig

hts

and

free

dom

s of

Dat

a Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

Par

ty’s

writ

ten

cons

ent.

2.Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l re

ason

able

tim

es t

o in

spec

t an

d re

view

the

step

s be

ing

take

n by

it

to c

ompl

y w

ith p

arag

raph

1 a

bove

, an

d w

ill g

ive

the

othe

r Pa

rty

any

assi

stan

ce w

hich

it

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.All

expr

essi

ons

in p

arag

raph

1,

2, 4

, 5

or 6

beg

inni

ng w

ith a

cap

ital l

ette

r (a

nd n

otde

fined

els

ewhe

re in

thi

s Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in t

he D

ata

Prot

ectio

n Le

gisl

atio

n.

4.Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it

into

lin

e w

ith

any

amen

dmen

t to

or

re

-ena

ctm

ent

of

an

y D

ata

Prot

ectio

nLe

gisl

atio

n,

in

part

icul

ar,

to

refle

ct

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Part

ies

to c

ompl

y w

ith a

ny r

equi

rem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

nCom

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in

rela

tion

toth

e Pr

oces

sing

of Pe

rson

al D

ata.

5.Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinu

e in

ful

l fo

rce

and

effe

ct f

or s

o lo

ng a

s a

Part

y is

a D

ata

Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

the

othe

r Pa

rty,

no

twith

stan

ding

th

e te

rmin

atio

n of

th

is

Agr

eem

ent

or

the

com

plet

ion

of t

he P

roje

ct.

[SC

HE

DU

LE 7

]

Par

t 1

- H

um

an R

igh

ts

1.U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

perf

orm

ance

of th

is A

gree

men

t:

1.45

no

t em

ploy

, en

gage

or

use

any

child

lab

our

in c

ircu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.46

no

t us

e fo

rced

la

bour

in

an

y fo

rm

(priso

n,

inde

ntur

ed,

bond

ed

or

othe

rwis

e);

1.47

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.48

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

and

if

any

acco

mm

odat

ion

is p

rovi

ded

by t

hat

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe f

or h

abita

tion

;

1.49

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re to

its

em

ploy

ees

in t

he e

vent

of ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

;

1.50

no

t di

scrim

inat

e ag

ains

t an

y em

ploy

ee on

an

y gr

ound

(i

nclu

ding

ra

ce,

relig

ion,

dis

abili

ty o

r ge

nder

);

1.51

no

t en

gage

in o

r su

ppor

t th

e us

e of

cor

pora

l pun

ishm

ent,

men

tal,

phys

ical

, se

xual

or

verb

al a

buse

;

1.52

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.53

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

th

e pr

evai

ling

indu

stry

wag

e, (

whi

chev

er i

s th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.54

co

mpl

y w

ith t

he l

aws

on w

orki

ng h

ours

and

em

ploy

men

t righ

ts i

n th

e co

untr

ies

in w

hich

it o

pera

tes;

and

1.55

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

inde

pend

ent

trad

e un

ions

and

fr

eedo

m o

f as

soci

atio

n.

2.Ea

ch P

arty

agr

ees

that

it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

ndth

at it

will

enc

oura

ge c

ompl

ianc

e w

ith e

thic

al s

tand

ards

and

hum

an r

ight

s by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by it

whe

n pe

rfor

min

g its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal

with

any

bre

ache

s of

thos

e po

licie

s.

Par

t 2

– A

nti

-Sla

very

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

37.

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es a

ndw

hich

rel

ate

to a

nti-

slav

ery

and

hum

an t

raff

icki

ng,

incl

udin

g t

he M

oder

n Sla

very

Act

201

5;

284

38

. no

t do

any

thin

g w

hich

wou

ld c

onst

itute

an

offe

nce

unde

r se

ctio

n 1,

2 o

r 4

Mod

ern

Sla

very

Act

20

15 if

it h

ad b

een

carr

ied

out i

n th

e U

nite

d K

ingd

om;

39

. ha

ve a

nd m

aint

ain

its o

wn

polic

ies

and

proc

edur

es t

o en

sure

com

plia

nce

with

pa

ragr

aphs

1 a

nd 2

abo

ve;

40.

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to in

par

agra

ph 3

abo

ve;

41

. in

clud

e in

its

con

trac

ts w

ith its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

d hu

man

tra

ffic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of t

his

Sch

edul

e;

42

. pr

ompt

ly r

epor

t to

the

oth

er P

arty

any

bre

ach

of t

his

sect

ion

of t

his

Sch

edul

e of

w

hich

it b

ecom

es a

war

e;

43

. pr

ovid

e su

ch e

vide

nce

of c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e as

the

ot

her

Part

y m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

44.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by it

in c

onne

ctio

n w

ith t

his

Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.);

and

45.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

the

rec

ords

ref

erre

d to

in p

arag

raph

8 a

bove

and

to

mee

t w

ith its

per

sonn

el

to v

erify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.

[P

art

3 –

th

e C

olla

bo

rato

r’s

Po

licie

s an

d P

roce

du

res

Each

Par

ty w

ill c

ompl

y w

ith t

he f

ollo

win

g:

[Ins

ert

deta

ils]]

[SC

HED

ULE

8

A

gre

ed L

icen

ce T

erm

s

The

Lice

nsed

Res

ults

: [E

xclu

sive

] O

R [

Non

-Exc

lusi

ve]

Rig

hts:

Te

rrito

ry:

Fiel

d:

Dur

atio

n:

Paym

ent

Term

s:

Targ

ets:

Rev

ersi

on o

f Rig

hts:

]

285

Dat

e d _

____

____

____

____

____

____

201[

]

(1)

[IN

SER

T N

AM

E]

(2)

[IN

SER

T N

AM

E]

MO

DE

L C

OLL

AB

OR

ATI

ON

AG

REE

MEN

T 5

(C

ontr

act

Res

earc

h)

Sce

nar

io -

Th

e C

olla

bor

ator

ow

ns

the

Res

ult

s an

d I

nst

itu

tion

doe

s N

OT

hav

e t

he

rig

ht

to

use

th

e R

esu

lts

for

Aca

dem

ic

and

R

esea

rch

P

urp

ose

s.

Aca

dem

ic

Pu

blic

atio

n i

s N

OT

perm

itte

d.

286

THIS

AG

REE

ME

NT

date

d […

……

……

……

……

……

……

……

…..

] 2

01[]

is m

ade

BE

TWEE

N:

(1)

[IN

SER

T N

AM

E],

who

se

adm

inis

trat

ive

offic

es

are

at

[ins

ert

addr

ess]

(t

he

Inst

itu

tio

n);

and

(2)

[IN

SER

T N

AM

E] [

LIM

ITED

] O

R [

PLC

], [

[a c

ompa

ny r

egis

tere

d in

[En

glan

d] u

nder

nu

mbe

r [i

nser

t nu

mbe

r],

who

se r

egis

tere

d of

fice

is a

t [i

nser

t ad

dres

s of

reg

iste

red

offic

e]]

OR

[[i

nser

t st

atus

of

the

Col

labo

rato

r, e

.g.

NH

S T

rust

] of

[in

sert

add

ress

of

prin

cipa

l off

ice]

] (t

he

Co

llab

ora

tor)

BA

CK

GR

OU

ND

The

part

ies

to t

his

Agr

eem

ent

wis

h to

col

labo

rate

on

a re

sear

ch p

roje

ct e

ntitl

ed "

[ins

ert

nam

e of

pro

ject

]".

This

Agr

eem

ent

gove

rns

the

part

ies’

col

labo

ratio

n in

rel

atio

n to

tha

t pr

ojec

t.

5.

DEF

INIT

ION

S A

ND

IN

TER

PR

ETA

TIO

N

1.1

In t

his

Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

this

Ag

reem

ent:

th

is

docu

men

t,

incl

udin

g its

Sch

edul

es,

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

Bac

kgro

un

d:

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

inve

ntio

ns,

disc

over

ies,

sof

twar

e an

d m

ater

ials

(r

egar

dles

s of

the

for

m o

r m

ediu

m in

whi

ch t

hey

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

this

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mo n

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

the

Co

llab

ora

tor'

s S

upe

rvis

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Co

mm

ence

men

t D

ate:

[i

nser

t th

e da

te

on

whi

ch

the

Proj

ect

is

to

star

t/st

arte

d];

Co

nfi

den

tial

In

form

atio

n:

a Pa

rty’

s co

nfid

entia

l in

form

atio

n is

: an

y Bac

kgro

und

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in t

he P

roje

ct [

and

iden

tifie

d as

co

nfid

ential

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

an

y ot

her

info

rmat

ion

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in

the

Proj

ect

or

unde

r th

is

Agr

eem

ent

[and

ide

ntifi

ed a

s co

nfid

entia

l be

fore

or

at

th

e tim

e of

di

sclo

sure

or

w

hich

, by

its

natu

re

or

from

th

e ci

rcum

stan

ces

of

its

disc

losu

re,

shou

ld r

easo

nabl

y be

pre

sum

ed t

o be

co

nfid

entia

l];

Co

ntr

ol:

th

e ab

ility

to

dire

ct t

he a

ffai

rs o

f an

othe

r pe

rson

, w

heth

er b

y vi

rtue

of

the

owne

rshi

p of

sha

res,

by

cont

ract

, or

in a

ny o

ther

way

;

the

Dat

a P

rote

ctio

n

Leg

isla

tion

w

hile

the

y re

mai

n in

for

ce,

the

Dat

a Pr

otec

tion

Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion,

an

d an

y ot

her

law

s an

d re

gula

tions

re

latin

g to

th

e pr

oces

sing

of

pers

onal

dat

a an

d pr

ivac

y w

hich

ap

ply

to a

Par

ty a

nd,

if ap

plic

able

, th

e gu

idan

ce

and

code

s of

pra

ctic

e is

sued

by

the

Info

rmat

ion

Com

mis

sion

er o

r ot

her

rele

vant

dat

a pr

otec

tion

or s

uper

viso

ry a

utho

rity

;

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Col

labo

rato

r se

t ou

t in

Sch

edul

e 1;

the

Go

od

Dat

a M

anag

emen

t P

ract

ices

:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

3;

a G

rou

p C

om

pan

y:

any

unde

rtak

ing

whi

ch

for

the

time

bein

g Con

trol

s, o

r is

Con

trol

led

by,

the

Col

labo

rato

r or

w

hich

for

the

tim

e be

ing

is C

ontr

olle

d by

a t

hird

pe

rson

whi

ch a

lso

Con

trol

s th

e Col

labo

rato

r;

Inte

llect

ual

Pro

per

ty

Rig

hts

: pa

tent

s,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uation

s,

cont

inua

tion

s-in

-par

t,

divi

sion

al

appl

icat

ions

, re

new

als

or

exte

nsio

ns

of,

and

righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

;

287

the

Key

Per

son

nel

: th

e Pr

inci

pal

Inve

stig

ator

, th

e C

olla

bora

tor’s

Sup

ervi

sor

and

any

othe

r ke

y pe

rson

nel

iden

tifie

d as

suc

h in

the

Pro

ject

Pla

n;

K

no

w-h

ow:

unpa

tent

ed

tech

nica

l in

form

atio

n (i

nclu

ding

in

form

atio

n re

latin

g to

in

vent

ions

, di

scov

erie

s,

conc

epts

, m

etho

dolo

gies

, m

odel

s,

rese

arch

, de

velo

pmen

t an

d te

stin

g pr

oced

ures

, th

e re

sults

of

exp

erim

ents

, te

sts

and

tria

ls,

man

ufac

turing

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

co

ntro

l dat

a, a

naly

ses,

rep

orts

and

sub

mis

sion

s)

whi

ch is

not

in t

he p

ublic

dom

ain;

the

Loca

tio

n:

the

loca

tion(

s)

at

whi

ch

the

Proj

ect

will

be

ca

rrie

d ou

t as

set

out

in t

he P

roje

ct P

lan;

a P

arty

:

the

Inst

itution

or

th

e Col

labo

rato

r an

d an

y pe

rson

who

bec

omes

a p

arty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.14,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pri

nci

pal

In

vest

igat

or:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

the

Pro

ject

: th

e pr

ogra

mm

e of

wor

k de

scribe

d in

the

Pro

ject

Pl

an;

th

e P

roje

ct P

erio

d:

the

period

des

crib

ed in

cla

use

2.1;

the

Pro

ject

Pla

n:

the

proj

ect

plan

ann

exed

to

this

Agr

eem

ent

as

Sch

edul

e 2,

as

varied

fro

m t

ime

to t

ime

unde

r th

e te

rms

of t

his

Agr

eem

ent;

the

Res

ult

s:

all

info

rmat

ion,

da

ta,

tech

niqu

es,

Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

disc

over

ies,

so

ftw

are

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

th

e Te

rrit

ory

: [w

orld

wid

e] O

R [

inse

rt g

eogr

aphi

cal a

rea]

; an

d

a V

aria

tio

n A

gre

emen

t:

a w

ritt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.

2 Th

e he

adin

gs in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct it

s co

nstr

uctio

n or

inte

rpre

tatio

n.

1.3

Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son

inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

. 1.

4 A r

efer

ence

in

this

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as a

men

ded,

ext

ende

d or

re-

enac

ted

from

tim

e to

tim

e an

d in

clud

es a

ll su

bord

inat

e le

gisl

atio

n m

ade

from

tim

e to

tim

e un

der

that

sta

tute

or

stat

utor

y pr

ovis

ion.

1.

5 A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l. 1.

6 A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce t

o th

at o

ther

agr

eem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss i

n br

each

of th

is A

gree

men

t) f

rom

tim

e to

tim

e.

1.7

Ref

eren

ces

in th

is Agr

eem

ent

to c

laus

es an

d Sch

edul

es ar

e to

th

e cl

ause

s an

d Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

5.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing,

incl

ud

e o

r in

pa

rtic

ula

r, o

r an

y si

mila

r ex

pres

sion

, ar

e to

be

cons

true

d as

illu

stra

tive

and

do

not

limi t

the

sens

e of

the

wor

ds p

rece

ding

tha

t ex

pres

sion

.

1.9

The

acts

an

d om

issi

ons

of

its

Gro

up

Com

pani

es

are

deem

ed

to

be

with

in

the

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol an

d th

e ac

ts a

nd o

mis

sion

s of

any

con

trac

tor

are

deem

ed t

o be

with

in t

he c

ontr

ol o

f th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

. 2.

TH

E P

RO

JEC

T 2.

1 Th

e Pr

ojec

t [w

ill

begi

n on

] O

R

[beg

an

on]

the

Com

men

cem

ent

Dat

e an

d w

ill

cont

inue

unt

il th

e co

mpl

etio

n of

the

Pro

ject

or

any

late

r da

te a

gree

d in

writing

be

twee

n th

e Pa

rtie

s, o

r un

til t

his

Agr

eem

ent

is t

erm

inat

ed in

acco

rdan

ce w

ith c

laus

e 8

or 9

. I

f th

is A

gree

men

t is

ent

ered

into

aft

er t

he C

omm

ence

men

t D

ate,

it w

ill a

pply

re

tros

pect

ivel

y to

w

ork

carr

ied

out

in

rela

tion

to

the

Proj

ect

on

or

afte

r th

e Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

arry

out

the

tas

ks a

llott

ed t

o it

in t

he

Proj

ect

Plan

, an

d w

ill p

rovi

de t

he h

uman

and

oth

er r

esou

rces

, Bac

kgro

und,

mat

eria

ls,

faci

litie

s an

d eq

uipm

ent

whi

ch a

re d

esig

nate

d as

its

resp

onsi

bilit

y in

the

Pro

ject

Pla

n.

The

Proj

ect

will

be

carr

ied

out

unde

r th

e di

rect

ion

and

supe

rvis

ion

of [

the

Prin

cipa

l In

vest

igat

or]

OR

[th

e Col

labo

rato

r's

Sup

ervi

sor]

. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t at

th

e Lo

catio

n.

2.3

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill u

se o

btai

n an

d m

aint

ain

all re

gula

tory

an

d et

hica

l lic

ence

s, c

onse

nts

and

appr

oval

s ne

cess

ary

to a

llow

it

to c

arry

out

the

ta

sks

allo

tted

to

it in

the

Pro

ject

Pla

n an

d w

ill c

arry

out

the

Pro

ject

in

acco

rdan

ce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

und

er o

r pu

rsua

nt t

o th

is

Agr

eem

ent.

2.

4 Ea

ch o

f th

e Pa

rtie

s w

ill e

nsur

e th

at i

ts e

mpl

oyee

s an

d st

uden

ts (

if an

y) i

nvol

ved

in

the

Proj

ect:

obs

erve

the

con

ditio

ns a

ttac

hing

to

any

regu

lato

ry a

nd e

thic

al l

icen

ces,

co

nsen

ts

and

appr

oval

s;

keep

co

mpl

ete

and

accu

rate

re

cord

s of

al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct a

nd o

f al

l Res

ults

, si

gned

by

the

peop

le w

ho o

btai

ned

or m

ade

each

Res

ult,

and

cou

nter

sign

ed

288

by a

n em

ploy

ee o

f th

at P

arty

who

is

not

a m

embe

r of

the

res

earc

h te

am b

ut w

ho

unde

rsta

nds

the

wor

k; a

nd c

ompl

y w

ith t

he G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

sta

ff a

nd s

tude

nts

(if

any)

(in

clud

ing

in t

he

case

of

the

Col

labo

rato

r, a

ny s

taff o

f an

y G

roup

Com

pany

) in

volv

ed i

n th

e Pr

ojec

t,

whe

n w

orki

ng o

n or

vis

iting

the

oth

er P

arty

’s p

rem

ises

, co

mpl

y w

ith t

he o

ther

Par

ty’s

he

alth

and

saf

ety

and

secu

rity

pol

icie

s an

d pr

oced

ures

and

, w

hen

acce

ssin

g or

usi

ng

the

othe

r Pa

rty’

s in

form

atio

n sy

stem

s, c

ompl

y w

ith t

he o

ther

Par

ty’s

inf

orm

atio

n se

curity

pol

icie

s an

d pr

oced

ures

.

2.6

[[Th

e In

stitu

tion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill c

ompl

y w

ith S

ched

ule

6. [

At

any

time

during

th

e Pr

ojec

t Pe

riod,

th

e C

olla

bora

tor

may

re

quire

ch

ange

s to

Pa

rt

3 of

Sch

edul

e 6,

w

here

su

ch

chan

ges

are

nece

ssar

y to

en

sure

th

at

the

Proj

ect

is

unde

rtak

en

in

com

plia

nce

with

th

e Col

labo

rato

r’s

appl

icab

le

polic

ies

and

proc

edur

es.]

]

2.7

Alth

ough

[th

e In

stitu

tion]

OR

[ea

ch o

f th

e Pa

rtie

s] w

ill u

se r

easo

nabl

e en

deav

ours

to

carr

y ou

t th

e Pr

ojec

t in

acc

orda

nce

with

the

Pro

ject

Pla

n, [

the

Inst

itutio

n do

es n

ot

unde

rtak

e]

OR

[n

eith

er

Part

y un

dert

akes

] th

at

any

rese

arch

w

ill

lead

to

an

y pa

rtic

ular

res

ult,

nor

doe

s it

guar

ante

e a

succ

essf

ul o

utco

me

to t

he P

roje

ct.

2.8

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill p

rovi

de [

the

Col

labo

rato

r] O

R [

othe

r Pa

rty]

with

[m

onth

ly][

annu

al]

OR

[qu

arte

rly]

rep

orts

sum

mar

isin

g th

e pr

ogre

ss o

f th

e Pr

ojec

t an

d a

copy

of

all o

f th

e Res

ults

.

2.9

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill n

otify

the

[Col

labo

rato

r] O

R [

othe

r]

prom

ptly

af

ter

iden

tifyi

ng an

y Res

ult

whi

ch [t

he In

stitu

tion]

O

R [i

t] be

lieve

s is

pa

tent

able

, an

d w

ill s

uppl

y th

e [C

olla

bora

tor]

OR

[ot

her]

with

cop

ies

of t

hat

Res

ult.

[T

he

Inst

itutio

n]

OR

[E

ach

of

the

Part

ies]

w

ill

notif

y ot

her

Res

ults

to

[t

he

Col

labo

rato

r] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its c

onst

itutio

n, a

nd h

as t

aken

all

nece

ssar

y ac

tions

and

obt

aine

d al

l au

thor

isat

ions

, lic

ence

s,

cons

ents

an

d ap

prov

als,

to

al

low

it

to

ente

r in

to

and

perf

orm

th

is

Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Fun

ding

Con

dition

s].

2.11

If

a P

arty

agr

ees

to t

rans

fer

any

[bio

logi

cal or

che

mic

al]

mat

eria

l to

the

oth

er P

arty

in

con

nect

ion

with

the

Pro

ject

, th

at t

rans

fer

will

be

subj

ect

to t

he t

erm

s of

a s

epar

ate

Mat

eria

ls T

rans

fer

Agr

eem

ent

ente

red

into

bet

wee

n th

e Pa

rtie

s in

rel

atio

n to

tha

t m

ater

ial.

2.12

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Col

labo

rato

r an

d th

e In

stitu

tion

and

unle

ss t

he a

dditi

onal

pe

rson

, th

e Col

labo

rato

r an

d th

e In

stitu

tion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.FI

NA

NC

IAL

CO

NTR

IBU

TIO

N

3.1

Each

Par

ty w

ill k

eep

com

plet

e an

d ac

cura

te a

ccou

nts

of its

ex

pend

iture

on

the

Pr

ojec

t. T

he C

olla

bora

tor

will

pay

the

Fin

anci

al C

ontr

ibut

ion

to t

he I

nstit

utio

n in

ac

cord

ance

w

ith Sch

edul

e 1

with

in [3

0][6

0] O

R [9

0] da

ys af

ter

rece

ipt

by th

e Col

labo

rato

r of

a

[mon

thly

] O

R

[qua

rter

ly]

invo

ice

for

the

sam

e.

W

here

th

e Fi

nanc

ial

Con

trib

utio

n is

bei

ng c

laim

ed a

gain

st c

osts

and

exp

ense

s in

curr

ed b

y th

e

Inst

itutio

n,

each

in

voic

e m

ust

be

acco

mpa

nied

by

a

stat

emen

t ce

rtifi

ed

by

an

auth

oris

ed o

ffic

er o

f th

e In

stitu

tion.

3.2

Unl

ess

any

VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent

are

excl

usiv

e of

VAT

whi

ch t

he C

olla

bora

tor

will

pay

at

the

rate

fro

m t

ime

to t

ime

pres

crib

ed b

y la

w.

3.3

If t

he C

olla

bora

tor

fails

to

mak

e an

y pa

ymen

t du

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to

any

othe

r righ

t or

re

med

y av

aila

ble

to

the

Inst

itutio

n,

the

Inst

itutio

n m

ay

char

ge

inte

rest

(b

oth

befo

re

and

afte

r an

y ju

dgem

ent)

on

the

amou

nt o

utst

andi

ng,

on a

dai

ly b

asis

[at

the

rat

e of

[fo

ur]

per

cent

per

ann

um a

bove

the

Lon

don

3 m

onth

Int

erba

nk O

ffer

Rat

e fr

om t

ime

to t

ime

in

forc

e] O

R [

in a

ccor

danc

e w

ith t

he L

ate

Paym

ents

of

Com

mer

cial

Deb

ts (

Inte

rest

) Act

19

98 a

s am

ende

d by

the

Lat

e Pa

ymen

t of

Com

mer

cial

Deb

ts R

egul

atio

ns 2

013]

. Th

at i

nter

est

will

be

calc

ulat

ed f

rom

the

dat

e or

las

t da

te f

or p

aym

ent

to t

he a

ctua

l da

te o

f pa

ymen

t, b

oth

date

s in

clus

ive,

and

will

be

com

poun

ded

quar

terly.

Th

e Col

labo

rato

r w

ill p

ay t

hat

inte

rest

to

the

Inst

itution

on

dem

and.

3.4

[Exc

ept

as

set

out

in

the

Proj

ect

Plan

,]

the

Inst

itutio

n w

ill

own

all

equi

pmen

t pu

rcha

sed

or c

onst

ruct

ed b

y it,

or

for

it, u

sing

the

Fin

anci

al C

ontr

ibut

ion.

4.U

SE

AN

D E

XP

LOIT

ATI

ON

OF

INTE

LLEC

TUA

L P

RO

PER

TY R

IGH

TS

4.1

This

Agr

eem

ent

does

not

aff

ect

the

owne

rshi

p of

any

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

dat

a,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. T

he I

ntel

lect

ual Pr

oper

ty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

the

m t

o th

e Pr

ojec

t (o

r its

lic

enso

rs).

N

o lic

ence

to

use

any

Inte

llect

ual

Prop

erty

Rig

hts

is

gran

ted

or i

mpl

ied

by t

his

Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

gran

ted

in t

his

Agr

eem

ent.

4.2

Each

Par

ty g

rant

s th

e ot

her

a ro

yalty

-fre

e, f

ully

pai

d-up

, no

n-ex

clus

ive

licen

ce t

o us

e its

Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect,

but

for

no

othe

r pu

rpos

e.

Nei

ther

Par

ty m

ay g

rant

any

sub

-lic

ence

to

use

the

othe

r's

Bac

kgro

und

exce

pt t

hat

the

Col

labo

rato

r m

ay a

llow

any

of

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

be

half

of

the

Col

labo

rato

r or

an

y G

roup

Com

pany

, to

us

e th

e In

stitu

tion'

s Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect,

but

for

no

othe

r pu

rpos

e.

4.3

The

Col

labo

rato

r w

ill o

wn

the

Inte

llect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts,

and

may

ta

ke s

uch

step

s as

it

may

dec

ide

from

tim

e to

tim

e, a

t its

exp

ense

, to

reg

iste

r an

d m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

tak

ing

any

reas

onab

le a

ctio

n in

res

pect

of

any

alle

ged

or a

ctua

l in

frin

gem

ent

of a

ny I

ntel

lect

ual

Prop

erty

Rig

hts

in t

he R

esul

ts.

4.4

The

Inst

itutio

n w

ill e

nsur

e th

at its

em

ploy

ees

invo

lved

in

the

crea

tion

of t

he R

esul

ts

give

th

e Col

labo

rato

r su

ch

assi

stan

ce

(exc

ept

finan

cial

as

sist

ance

) as

th

e Col

labo

rato

r m

ay

reas

onab

ly

requ

est

in

conn

ectio

n w

ith

the

regi

stra

tion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

any

act

ion

in

resp

ect

of a

ny a

llege

d or

act

ual

infr

inge

men

t of

any

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y of

the

Res

ults

.

289

4.5

Whe

re a

ny t

hird

par

ty s

uch

as a

stu

dent

or

cont

ract

or is

or

has

been

inv

olve

d in

the

Pr

ojec

t, t

he P

arty

eng

agin

g th

at t

hird

par

ty w

ill e

nsur

e th

at t

hat

third

part

y ha

s as

sign

ed t

o it

(inc

ludi

ng m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all

righ

ts w

hich

tha

t th

ird

part

y m

ay h

ave

in t

he R

esul

ts i

n or

der

to b

e ab

le t

o gi

ve

effe

ct t

o th

e pr

ovis

ions

of th

is c

laus

e 4.

4.

6 To

the

ext

ent

that

any

Int

elle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

are

cap

able

of

pros

pect

ive

assi

gnm

ent,

th

e In

stitu

tion

now

as

sign

s th

ose

Inte

llect

ual

Prop

erty

Rig

hts

to t

he C

olla

bora

tor;

and

to

the

exte

nt a

ny I

ntel

lect

ual Pr

oper

ty R

ight

s in

the

Res

ults

can

not

pros

pect

ivel

y be

ass

igne

d, t

he I

nstit

utio

n w

ill a

ssig

n th

ose

Inte

llect

ual

Prop

erty

Rig

hts

to t

he C

olla

bora

tor

as a

nd w

hen

they

are

cre

ated

, at

the

req

uest

of

the

Col

labo

rato

r.

4.7

The

Col

labo

rato

r gr

ants

the

Ins

titut

ion

a ro

yalty

-fre

e, n

on-e

xclu

sive

lic

ence

to

use

the

Res

ults

(w

ithou

t th

e righ

t to

sub

licen

se)

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect

but

for

no o

ther

pur

pose

. 6.

C

ON

FID

ENTI

ALI

TY

6.

1 Sub

ject

to

clau

se 5

, ne

ither

Par

ty w

ill [

, ei

ther

dur

ing

the

Proj

ect

Perio

d or

for

[3

][5]

[7]

OR

[10

] ye

ars

afte

r th

e en

d of

the

Pro

ject

Per

iod,

] di

sclo

se t

o an

y th

ird

part

y, n

or u

se f

or a

ny p

urpo

se e

xcep

t as

exp

ress

ly p

erm

itted

by

this

Agr

eem

ent,

any

of

the

oth

er P

arty

's C

onfid

entia

l Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of t

he

othe

r Pa

rty’

s Con

fiden

tial

Info

rmat

ion

conf

iden

tial

or n

ot t

o di

sclo

se i

t to

any

oth

er

part

y to

the

ext

ent

that

:

6.2.

1 if

it is

rec

eive

d fr

om t

he o

ther

Par

ty,

it is

kno

wn

to t

he R

ecip

ient

or

any

Gro

up

Com

pany

(de

mon

stra

ble

by w

ritt

en r

ecor

ds)

befo

re it

s re

ceip

t fr

om t

he o

ther

Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

entia

lity

to t

he o

ther

Pa

rty;

6.

2.2

it is

or

beco

mes

pub

licly

kno

wn

with

out

any

brea

ch o

f th

is A

gree

men

t or

any

ot

her

unde

rtak

ing

to k

eep

it co

nfid

ential

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

ential

ity o

wed

to

the

othe

r Pa

rty;

6.2.

4 it

has

been

inde

pend

ently

dev

elop

ed b

y th

e Rec

ipie

nt o

r an

y G

roup

Com

pany

w

ithou

t re

fere

nce

to t

he o

ther

Par

ty’s

Con

fiden

tial

Inf

orm

atio

n;

6.2.

5 it

is d

iscl

osed

pur

suan

t to

the

req

uire

men

t of

any

law

or

regu

latio

n (p

rovi

ded,

in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of

Info

rmat

ion

Act

200

0 or

the

En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4, n

one

of t

he e

xcep

tions

to

that

Act

or

thos

e Reg

ulat

ions

app

lies

to t

he inf

orm

atio

n di

sclo

sed)

or

purs

uant

to

th

e or

der

of a

ny C

ourt

of

com

pete

nt j

uris

dict

ion

or t

he r

equi

rem

ent

of a

ny

com

pete

nt r

egul

ator

y au

thor

ity,

and

that

, in

eac

h ca

se w

here

the

law

per

mits

, th

e Pa

rty

requ

ired

to m

ake

that

dis

clos

ure

has

info

rmed

the

oth

er,

with

in a

re

ason

able

tim

e af

ter

bein

g re

quired

to

m

ake

the

disc

losu

re,

of

the

requ

irem

ent

to d

iscl

ose

and

the

info

rmat

ion

requ

ired

to

be d

iscl

osed

; or

6.2.

6 it

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he

othe

r Pa

rty.

6.

3 Th

e Col

labo

rato

r w

ill

not

be

in

brea

ch

of

any

oblig

atio

n to

ke

ep

any

of

the

Inst

itutio

n's

Bac

kgro

und

or o

ther

inf

orm

atio

n co

nfid

ential

or

not

to d

iscl

ose

them

to

any

third

part

y, b

y m

akin

g th

em a

vaila

ble

to a

ny G

roup

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

the

Col

labo

rato

r or

a G

roup

Com

pany

, w

ho n

eeds

to

know

th

e sa

me

in o

rder

to

exer

cise

the

rig

hts

gran

ted

in t

his

Agr

eem

ent,

pro

vide

d th

ey a

re

not

used

ex

cept

as

ex

pres

sly

perm

itted

by

th

is

Agr

eem

ent

and

the

reci

pien

t un

dert

akes

to

keep

the

m c

onfid

entia

l.

6.4

If t

he I

nstit

utio

n re

ceiv

es a

req

uest

und

er t

he F

reed

om o

f In

form

atio

n Act

200

0 to

di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n, i

t w

ill no

tify

the

Col

labo

rato

r an

d w

ill c

onsu

lt w

ith t

he

Col

labo

rato

r pr

ompt

ly a

nd b

efor

e m

akin

g an

y di

sclo

sure

und

er t

hat

Act

or

thos

e Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

any

oth

er o

ptio

ns a

vaila

ble,

and

w

ill n

otify

the

Col

labo

rato

r of

the

inte

nded

res

pons

e to

tha

t re

ques

t. T

he C

olla

bora

tor

will

res

pond

to

the

Inst

itutio

n w

ithin

10

days

aft

er r

ecei

ving

the

Ins

titut

ion’

s no

tice

if th

at n

otic

e re

ques

ts t

he C

olla

bora

tor

to p

rovi

de i

nfor

mat

ion

to a

ssis

t th

e In

stitu

tion

to d

eter

min

e w

heth

er o

r no

t an

exe

mpt

ion

to t

he F

reed

om o

f In

form

atio

n Act

200

0 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

20

04

appl

ies

to

the

info

rmat

ion

requ

este

d un

der

that

Ac

t or

th

ose

Reg

ulat

ions

. Th

e C

olla

bora

tor

may

m

ake

repr

esen

tatio

ns in

rel

atio

n to

tha

t re

ques

t an

d th

e pr

opos

ed r

espo

nse

and

may

re

ques

t am

endm

ents

to

th

e pr

opos

ed

resp

onse

. [A

t th

e Col

labo

rato

r’s

requ

est,

ex

cept

in

orde

r to

com

ply

with

any

cou

rt o

rder

or

any

deci

sion

of

the

Info

rmat

ion

Com

mis

sion

er

or

the

Info

rmat

ion

Trib

unal

, th

e In

stitu

tion

will

no

t di

sclo

se

any

info

rmat

ion

whi

ch,

unde

r th

is

Agr

eem

ent,

is

th

e Col

labo

rato

r’s

Con

fiden

tial

In

form

atio

n in

res

pons

e to

a r

eque

st u

nder

the

Fre

edom

of

Info

rmat

ion

Act

200

0 or

th

e En

viro

nmen

tal I

nfor

mat

ion

Reg

ulat

ions

200

4 pr

ovid

ed t

hat:

6.4.

1 th

e Col

labo

rato

r m

akes

tha

t re

ques

t in

writin

g w

ithin

10

days

aft

er r

ecei

ving

th

e In

stitu

tion’

s no

tice

give

n un

der

this

cla

use

6.4;

and

6.4.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

Par

ties

), a

nd k

eeps

the

m f

ully

and

eff

ectiv

ely

inde

mni

fied,

ag

ains

t ea

ch a

nd e

very

cla

im m

ade

agai

nst

any

of t

he I

ndem

nifie

d Pa

rtie

s as

a

resu

lt of

the

Ins

titut

ion

not

mak

ing

any

disc

losu

re o

f th

e Col

labo

rato

r’s

Con

fiden

tial

in

form

atio

n in

re

spon

se

to

a re

ques

t un

der

the

Free

dom

of

In

form

atio

n Act

200

0 or

the

Env

iron

men

tal I

nfor

mat

ion

Reg

ulat

ions

200

4.]

6.

5 N

eith

er P

arty

will

use

the

oth

er’s

nam

e or

the

nam

e of

any

of

the

Key

Per

sonn

el

prov

ided

by

the

othe

r Pa

rty

or t

he o

ther

Par

ty’s

logo

in

any

pres

s re

leas

e or

pro

duct

ad

vert

isin

g, o

r fo

r an

y ot

her

prom

otio

nal

purp

ose,

with

out

first

obt

aini

ng t

he o

ther

Pa

rty’

s w

ritt

en c

onse

nt.

6.

6 [N

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t, t

he I

nstit

utio

n m

ay ide

ntify

th

e su

ms

rece

ived

fro

m th

e Col

labo

rato

r in

th

e In

stitu

tion’

s Ann

ual

Rep

ort

and

sim

ilar

publ

icat

ions

][,

and

the

Col

labo

rato

r m

ay,

in

orde

r to

co

mpl

y w

ith

any

tran

spar

ency

re

port

ing

oblig

atio

ns to

w

hich

it

is su

bjec

t, pu

blis

h de

tails

of

an

y tr

ansf

ers

of v

alue

].]

290

7.LI

MIT

ATI

ON

OF

LIA

BIL

ITY

7.1

Each

of

the

Part

ies

war

rant

s to

the

oth

er t

hat,

to

the

best

of

its k

now

ledg

e an

d be

lief

(hav

ing

mad

e re

ason

able

enq

uiry

of

thos

e of

its

empl

oyee

s in

volv

ed in

the

Pro

ject

or

likel

y to

hav

e re

leva

nt k

now

ledg

e[,

and

in t

he c

ase

of t

he I

nstit

utio

n an

y st

uden

t in

volv

ed in

the

Pro

ject

], b

ut n

ot h

avin

g m

ade

any

sear

ch o

f an

y pu

blic

reg

iste

r),

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its e

mpl

oyee

s or

stu

dent

s w

ho w

ork

on

the

Proj

ect,

or

the

cont

ent

or u

se o

f an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

OR

7.1

Nei

ther

of

the

Part

ies

[exc

ept

unde

r cl

ause

7.1

0] m

akes

any

rep

rese

ntat

ion

or g

ives

an

y w

arra

nty

to t

he o

ther

tha

t an

y ad

vice

or

info

rmat

ion

give

n by

it

or a

ny o

f its

em

ploy

ees

or s

tude

nts

who

wor

k or

hav

e w

orke

d on

the

Pro

ject

, or

the

con

tent

or

use

of an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

in

form

atio

n pr

ovid

ed

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in a

ny in

frin

gem

ent

of t

hird

-pa

rty

righ

ts.

7.2

Exce

pt

unde

r th

e w

arra

nt[y

][ie

s]

in

clau

se[s

] [7

.1

and]

cl

ause

7.

10]

and

the

inde

mni

ties

in c

laus

es [

6.6,

]7.

3 an

d 7.

4, a

nd s

ubje

ct t

o cl

ause

7.8

, ne

ither

Par

ty

acce

pts

any

liabi

lity

or r

espo

nsib

ility

for

any

use

whi

ch m

ay b

e m

ade

by t

he o

ther

Pa

rty

of a

ny o

f th

e Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Pa

rty

on a

ny o

f th

e Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

an

y of

the

Res

ults

.

7.3

Sub

ject

to

clau

se 7

.7.1

, th

e Col

labo

rato

r [a

nd t

he I

nstit

utio

n] w

ill i

ndem

nify

the

ot

her

Part

y, a

nd i

ts e

mpl

oyee

s an

d st

uden

ts (

toge

ther

th

e In

dem

nif

ied

Par

ties

),

and

keep

the

m f

ully

and

eff

ectiv

ely

inde

mni

fied,

aga

inst

eac

h an

d ev

ery

clai

m m

ade

agai

nst

any

of t

he I

ndem

nifie

d Pa

rtie

s as

a r

esul

t of

the

Col

labo

rato

r's

use

of a

ny o

f th

e fo

llow

ing:

the

Res

ults

and

any

mat

eria

ls,

wor

ks o

r in

form

atio

n re

ceiv

ed f

rom

an

Inde

mni

fied

Part

y pu

rsua

nt t

o th

is A

gree

men

t, p

rovi

ded

that

the

Ind

emni

fied

Part

y m

ust:

7.3.

1 pr

ompt

ly n

otify

the

Ind

emni

fyin

g Pa

rty

of d

etai

ls o

f th

e cl

aim

;

7.3.

2 no

t m

ake

any

adm

issi

on in

rel

atio

n to

the

cla

im;

7.3.

3 ta

ke r

easo

nabl

e st

eps

to m

itiga

te i

ts l

osse

s an

d ex

pens

es a

risi

ng f

rom

the

cl

aim

;

7.3.

4 al

low

th

e In

dem

nify

ing

Part

y to

ha

ve

the

cond

uct

of

the

defe

nce

and

sett

lem

ent

of t

he c

laim

; an

d

7.3.

5 gi

ve t

he I

ndem

nify

ing

Part

y al

l re

ason

able

ass

ista

nce

(at

the

Col

labo

rato

r’s

expe

nse)

in d

ealin

g w

ith t

he c

laim

.

The

inde

mni

ty in

thi

s cl

ause

7.3

will

not

app

ly t

o th

e ex

tent

tha

t th

e cl

aim

arise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, i

ts d

elib

erat

e br

each

of

this

Agr

eem

ent

or it

s kn

owin

g in

frin

gem

ent

of a

ny t

hird

par

ty’s

Int

elle

ctua

l Pr

oper

ty R

ight

s or

its

know

ing

brea

ch o

f an

y th

ird

part

y’s

righ

ts o

f co

nfid

ence

.

7.4

Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all co

sts,

cla

ims,

dem

ands

, ex

pens

es a

nd

liabi

litie

s of

any

nat

ure

aris

ing

out

of o

r in

con

nect

ion

with

any

bre

ach

by i

t of

Sch

edul

e 5.

7.5

Sub

ject

to

cl

ause

s 7.

7 an

d 7.

8,

and

exce

pt

unde

r th

e in

dem

nitie

s in

cl

ause

s [6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

th

is A

gree

men

t, t

he P

roje

ct a

nd t

he R

esul

ts,

will

not

ext

end

to:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; or

7.5.

2 an

y lo

ss

of

prof

its,

loss

of

re

venu

e,

loss

of

da

ta,

loss

of

co

ntra

cts

or

oppo

rtun

ity,

whe

ther

direc

t or

indi

rect

,

Even

, in

eac

h ca

se,

if th

e pa

rty

brin

ging

the

cla

im h

as a

dvis

ed t

he o

ther

of

the

poss

ibili

ty o

f th

ose

loss

es,

or if

the

y w

ere

with

in t

he o

ther

Par

ty's

con

tem

plat

ion.

7.6

Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te lia

bilit

y of

eac

h Pa

rty

to t

he o

ther

for

al

l an

d an

y br

each

es o

f th

is A

gree

men

t, a

ny n

eglig

ence

or

aris

ing

in a

ny o

ther

way

ou

t of

the

sub

ject

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot

exce

ed in

tot

al [

the

Fina

ncia

l Con

trib

utio

n] O

R [

£ins

ert

figur

e].

7.7

Sub

ject

in e

ach

case

to

clau

se 7

.8,

the

aggr

egat

e lia

bilit

y of

eac

h Pa

rty

to t

he o

ther

:

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

; an

d

7.7.

2 un

der

the

inde

mni

ty in

cla

use

7.4

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

.

7.8

Not

hing

in t

his

Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or fo

r an

y so

rt of

lia

bilit

y th

at,

by la

w,

cann

ot be

lim

ited

or

excl

uded

;

7.8.

3 an

y lo

ss o

r da

mag

e ca

used

by

a de

liber

ate

brea

ch o

f th

is A

gree

men

t.

7.9

The

expr

ess

unde

rtak

ings

and

war

rant

ies

give

n by

the

Par

ties

in t

his

Agr

eem

ent

are

in

lieu

of

all

othe

r w

arra

ntie

s,

cond

ition

s,

term

s,

unde

rtak

ings

an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on law

, cu

stom

, tr

ade

usag

e, c

ours

e of

de

alin

g or

in a

ny o

ther

way

. A

ll of

the

se a

re e

xclu

ded

to t

he f

ulle

st e

xten

t pe

rmitt

ed

by la

w.

7.10

[A

ny a

ssig

nmen

t of

Int

elle

ctua

l Pr

oper

ty R

ight

s m

ade

unde

r or

pur

suan

t to

thi

s Agr

eem

ent

is m

ade

or w

ill b

e m

ade

with

ful

l title

gua

rant

ee.]

OR

[In

res

pect

of

any

assi

gnm

ent

of I

ntel

lect

ual P

rope

rty

Rig

hts

mad

e un

der

or p

ursu

ant

to t

his

Agr

eem

ent,

th

e as

sign

or w

arra

nts

to t

he a

ssig

nee

that

:

7.10

.1 th e

ass

igno

r ha

s th

e righ

t to

dis

pose

of

the

Inte

llect

ual P

rope

rty

assi

gned

and

th

at it

will

, at

its

own

cost

, do

all

that

it r

easo

nabl

y ca

n to

giv

e th

e tit

le t

hat

it pu

rpor

ts t

o gi

ve;

and

291

7.10

.2 the

In

telle

ctua

l Pr

oper

ty

Rig

hts

assi

gned

ar

e fr

ee

from

al

l ch

arge

s an

d en

cum

bran

ces

and

right

s of

an

y th

ird

part

y (e

xcep

t th

ose

of

whi

ch

the

assi

gnor

is u

naw

are

or c

ould

not

rea

sona

bly

be a

war

e of

.]

8.FO

RC

E M

AJE

UR

E

If t

he p

erfo

rman

ce b

y a

Part

y of

any

of

its o

blig

atio

ns u

nder

thi

s Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

de

laye

d or

pr

even

ted

by

circ

umst

ance

s be

yond

its

re

ason

able

con

trol

, th

at P

arty

will

not

be

in b

reac

h of

thi

s Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce la

sts

mor

e th

an [

3] O

R

[6]

mon

ths,

the

oth

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

im

med

iate

eff

ect

by

givi

ng w

ritt

en n

otic

e to

the

Par

ty w

hose

per

form

ance

is d

elay

ed o

r pr

even

ted.

9.TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

th

e ot

her

Part

y if

the

othe

r Pa

rty:

9.1.

1 is

in b

reac

h of

any

pro

visi

on o

f th

is A

gree

men

t an

d (if

it is

cap

able

of

rem

edy)

th

e br

each

has

not

bee

n re

med

ied

with

in [

30][

60]

OR

[90

] da

ys a

fter

rec

eipt

of

writt

en n

otic

e sp

ecify

ing

the

brea

ch a

nd r

equi

ring

its

rem

edy;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

appo

inte

d ov

er t

he w

hole

or

any

part

of

the

othe

r pa

rty'

s as

sets

, or

if

the

othe

r pa

rty

mak

es a

ny a

rran

gem

ent

with

its

cred

itors

; or

9.

1.3

com

mits

any

bre

ach

of S

ched

ule

5 [o

r Sc

hedu

le 7

].

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Proj

ect.

W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

who

or

igin

ally

app

oint

ed t

hat

mem

ber

of t

he K

ey P

erso

nnel

will

nom

inat

e a

succ

esso

r.

The

othe

r Pa

rty

will

not

unr

easo

nabl

y re

fuse

to

acce

pt t

he n

omin

ated

suc

cess

or,

but

if th

e su

cces

sor

is n

ot a

ccep

tabl

e to

the

oth

er P

arty

on

reas

onab

le g

roun

ds,

or if

the

ap

poin

tor

cann

ot f

ind

a su

cces

sor,

eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

by

givi

ng t

he o

ther

not

less

tha

n [3

] m

onth

s' n

otic

e.

9.8

[The

Col

labo

rato

r m

ay

term

inat

e th

is

Agr

eem

ent

at

any

time

prov

ided

th

e Col

labo

rato

r co

mpl

ies

with

cla

uses

9.5

and

9.6

, by

giv

ing

not

less

tha

n [3

] m

onth

s'

notic

e to

the

Ins

titut

ion.

]

9.4

Cla

uses

1,

3, 4

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

and

10

will

sur

vive

the

exp

iry

of t

he

com

plet

ion

of t

he P

roje

ct o

r th

e te

rmin

atio

n of

thi

s Agr

eem

ent

for

any

reas

on a

nd

will

co

ntin

ue in

fu

ll fo

rce

and

effe

ct in

defin

itely

or,

in

the

cas

e of

cl

ause

5,

in

ac

cord

ance

with

cla

use

5.1.

9.5

On

the

term

inat

ion

of t

his

Agr

eem

ent,

the

Col

labo

rato

r w

ill p

ay t

he I

nstit

utio

n fo

r al

l w

ork

done

be

fore

te

rmin

atio

n [a

nd

not

cove

red

by

the

Exte

rnal

Fu

ndin

g].

If

term

inat

ion

occu

rs p

ursu

ant

to c

laus

e 9.

2 [o

r 9.

3],

the

Col

labo

rato

r w

ill r

e-im

burs

e th

e In

stitu

tion

for

all c

osts

and

exp

ense

s w

hich

the

Ins

titut

ion

has

incu

rred

or

agre

ed

to in

cur

and

whi

ch t

he I

nstit

utio

n is

una

ble

to c

ance

l.

9.6

Follo

win

g th

e te

rmin

atio

n of

thi

s Agr

eem

ent

[by

the

Inst

itutio

n] u

nder

cla

use

9.1

or

9.2

[or

by t

he C

olla

bora

tor

unde

r cl

ause

9.3

], if

the

Fin

anci

al C

ontr

ibut

ion

is in

tend

ed

to c

over

the

cos

ts o

f em

ploy

ing

any

Inst

itution

sta

ff i

nvol

ved

in t

he P

roje

ct,

the

Col

labo

rato

r w

ill c

ontinu

e to

rei

mbu

rse,

in a

ccor

danc

e w

ith c

laus

e 3,

the

act

ual d

irec

t em

ploy

men

t co

sts

of s

taff

who

wer

e ap

poin

ted

by t

he I

nstit

utio

n to

wor

k on

the

Pr

ojec

t be

fore

th

e se

rvic

e of

th

e no

tice,

pr

ovid

ed th

at

the

Inst

itutio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

con

tinu

e un

til t

he

effe

ctiv

e da

te o

f te

rmin

atio

n of

eac

h st

aff

cont

ract

or

the

date

on

whi

ch t

he P

roje

ct

was

to

have

end

ed (

whi

chev

er i

s th

e ea

rlie

r).

Thos

e di

rect

em

ploy

men

t co

sts

will

in

clud

e a

prop

ortio

n of

an

y re

dund

ancy

cos

ts w

hich

ha

ve be

en in

curr

ed by

th

e In

stitu

tion

as a

direc

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

tha

t pr

opor

tion

to

be c

alcu

late

d by

div

idin

g th

e in

divi

dual

’s i

nvol

vem

ent

in t

he P

roje

ct b

y th

e du

ratio

n of

his

per

iod

of e

mpl

oym

ent

by t

he I

nstit

utio

n.

9.7

If t

he C

olla

bora

tor

has

paid

any

of

the

Fina

ncia

l Con

trib

utio

n in

adv

ance

and

the

w

hole

of

th

at

cont

ribu

tion

has

not,

by

th

e en

d of

th

e Pr

ojec

t Pe

riod

or

th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

bee

n us

ed b

y th

e In

stitu

tion

for

the

purp

oses

for

w

hich

tha

t Fi

nanc

ial

Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he

Col

labo

rato

r th

e un

used

por

tion

of t

hat

cont

ribu

tion.

10.

GE

NE

RA

L

10.1

N

oti

ces:

Any

not

ice

to b

e gi

ven

unde

r th

is A

gree

men

t m

ust

be in

wri

ting,

mus

t be

de

liver

ed t

o th

e ot

her

Part

y by

any

of

the

met

hods

set

out

in

the

left

han

d co

lum

n be

low

, an

d w

ill b

e de

emed

to

be r

ecei

ved

on t

he c

orre

spon

ding

day

set

out

in

the

righ

t ha

nd c

olum

n:

Met

ho

d o

f se

rvic

e

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

the

day

of d

eliv

ery

By

pre-

paid

first

cla

ss p

ost

the

seco

nd B

usin

ess

Day

aft

er p

ostin

g

By

reco

rded

del

iver

y po

st

the

next

Bus

ines

s D

ay a

fter

pos

ting

The

Part

ies'

res

pect

ive

repr

esen

tativ

es f

or t

he r

ecei

pt o

f no

tices

are

, un

til c

hang

ed

by n

otic

e gi

ven

in a

ccor

danc

e w

ith t

his

clau

se,

as fol

low

s:

For

the

Inst

itu

tio

n:

For

the

Co

llab

ora

tor:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

N

eith

er P

arty

may

ass

ign

or t

rans

fer

this

Agr

eem

ent

as a

who

le,

or

any

of it

s righ

ts o

r ob

ligat

ions

und

er it,

with

out

first

obt

aini

ng t

he w

ritt

en c

onse

nt o

f th

e ot

her

Part

y[,

exce

pt t

hat

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a w

hole

to

a G

roup

Com

pany

with

out

the

cons

ent

of t

he I

nstit

utio

n].

Nei

ther

Par

ty w

ill

unre

ason

ably

with

hold

or

dela

y its

con

sent

.

292

10.3

Il

leg

al/

un

enfo

rcea

ble

pro

visi

on

s:

If t

he w

hole

or

any

part

of

any

prov

isio

n of

th

is A

gree

men

t is

voi

d or

une

nfor

ceab

le i

n an

y ju

risd

ictio

n, t

he o

ther

pro

visi

ons

of

this

Agr

eem

ent,

and

the

res

t of

the

voi

d or

une

nfor

ceab

le p

rovi

sion

, w

ill c

ontin

ue i

n fo

rce

in t

hat

jurisd

ictio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on i

n an

y ot

her

jurisd

ictio

n w

ill n

ot b

e af

fect

ed.

10.4

W

aive

r o

f ri

gh

ts:

If

a Pa

rty

fails

to

enfo

rce,

or

dela

ys in

enf

orci

ng,

an o

blig

atio

n of

th

e ot

her

part

y, o

r fa

ils t

o ex

erci

se,

or d

elay

s in

exe

rcis

ing,

a r

ight

und

er t

his

Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

co

nstit

ute

a w

aive

r of

tha

t righ

t.

Any

wai

ver

of a

ny p

rovi

sion

of

this

Agr

eem

ent

will

no

t, u

nles

s ex

pres

sly

stat

ed t

o th

e co

ntra

ry,

cons

titut

e a

wai

ver

of t

hat

prov

isio

n on

a

futu

re o

ccas

ion.

10.5

N

o

agen

cy:

N

othi

ng

in

this

Agr

eem

ent

crea

tes,

im

plie

s or

ev

iden

ces

any

part

ners

hip

or j

oint

ven

ture

bet

wee

n th

e Pa

rtie

s, o

r th

e re

latio

nshi

p be

twee

n th

em o

f pr

inci

pal an

d ag

ent.

N

eith

er P

arty

has

any

aut

hority

to

mak

e an

y re

pres

enta

tion

or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

cons

titut

es t

he e

ntire

agre

emen

t be

twee

n th

e Pa

rtie

s re

lating

to

its s

ubje

ct m

atte

r.

Each

Par

ty a

ckno

wle

dges

tha

t it

has

not

ente

red

into

thi

s Agr

eem

ent

on t

he b

asis

of

any

war

rant

y, r

epre

sent

atio

n, s

tate

men

t,

agre

emen

t or

und

erta

king

exc

ept

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Ea

ch

Part

y w

aive

s an

y cl

aim

for

bre

ach

of t

his

Agr

eem

ent,

or

any

righ

t to

res

cind

thi

s Agr

eem

ent

in r

espe

ct o

f an

y re

pres

enta

tion

whi

ch is

not

an

expr

ess

prov

isio

n of

thi

s Agr

eem

ent.

H

owev

er,

this

cla

use

does

not

exc

lude

any

lia

bilit

y w

hich

eith

er P

arty

m

ay h

ave

to t

he o

ther

(or

any

rig

ht w

hich

eithe

r Pa

rty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in

re

spec

t of

an

y fr

audu

lent

m

isre

pres

enta

tion

or

frau

dule

nt

conc

ealm

ent

befo

re t

he s

igni

ng o

f th

is A

gree

men

t.

10.7

Fo

rmal

itie

s: E

ach

Part

y w

ill t

ake

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly

requ

ired

by

the

othe

r Pa

rty

to g

ive

effe

ct t

o an

y of

its

rig

hts

unde

r th

is A

gree

men

t,

or t

o en

able

the

ir r

egis

trat

ion

in a

ny r

elev

ant

terr

itory

pro

vide

d th

e pa

rty

mak

ing

the

requ

est

pays

the

oth

er P

arty

’s r

easo

nabl

e ex

pens

es.

10.8

A

men

dm

ents

: N

o va

riat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it is

mad

e in

writing

and

sig

ned

by e

ach

Part

y's

repr

esen

tativ

e.

10.9

Th

ird

par

ties

: N

o on

e ex

cept

a P

arty

has

any

rig

ht t

o pr

even

t th

e am

endm

ent

of

this

Agr

eem

ent

or i

ts t

erm

inat

ion,

and

no

one

exce

pt a

Par

ty m

ay e

nfor

ce a

ny

bene

fit

conf

erre

d by

th

is

Agr

eem

ent,

un

less

th

is

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.5,

in e

ach

case

und

er

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g

law

:

This

Agr

eem

ent

and

any

disp

ute

or

clai

m

(inc

ludi

ng

non-

cont

ract

ual

disp

utes

or

clai

ms)

arisi

ng o

ut o

f or

in

conn

ectio

n w

ith

it or

its

sub

ject

m

atte

r or

for

mat

ion

are

gove

rned

by,

and

thi

s Agr

eem

ent

is t

o be

con

stru

ed i

n ac

cord

ance

with

, En

glis

h la

w.

The

Eng

lish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

de

al w

ith a

ny d

ispu

te (

incl

udin

g an

y no

n-co

ntra

ctua

l cl

aim

or

disp

ute)

whi

ch h

as

aris

en o

r m

ay a

rise

out

of,

or

in c

onne

ctio

n w

ith,

this

Agr

eem

ent,

exc

ept

that

a P

arty

m

ay br

ing

proc

eedi

ngs

to pr

otec

t its

Int

elle

ctua

l Pr

oper

ty Rig

hts

or C

onfid

entia

l In

form

atio

n in

any

jur

isdi

ctio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny i

ssue

con

cern

ing

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne p

arty

has

not

ified

the

oth

er o

f th

at iss

ue,

they

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

Ins

titut

ion,

an

d to

[in

sert

off

icer

] in

the

cas

e of

the

Col

labo

rato

r in

an

atte

mpt

to

reso

lve

the

issu

e w

ithin

[14

] da

ys a

fter

the

ref

erra

l. E

ither

Par

ty m

ay b

ring

pro

ceed

ings

in

acco

rdan

ce w

ith c

laus

e 10

.10

if th

e m

atte

r ha

s no

t be

en r

esol

ved

with

in t

hat

[14]

da

y pe

riod,

an

d ei

ther

Pa

rty

may

br

ing

proc

eedi

ngs

to

prot

ect

its

Inte

llect

ual

Prop

erty

Rig

hts

or C

onfid

entia

l In

form

atio

n in

any

jur

isdi

ctio

n, w

heth

er o

r no

t an

y is

sue

has

been

esc

alat

ed u

nder

thi

s cl

ause

.

10.1

2 A

nti

-Bri

ber

y: E

ach

part

y w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 4.

10.1

3 D

ata

Pro

tect

ion

: Ea

ch p

arty

will

com

ply

with

the

pro

visi

ons

set

out

in S

ched

ule

5.

10.1

4 C

ou

nte

rpar

ts:

This

Agr

eem

ent

may

be

exec

uted

in

any

num

ber

of c

ount

erpa

rts.

O

nce

it ha

s be

en e

xecu

ted

and

each

Par

ty h

as e

xecu

ted

at l

east

one

cou

nter

part

, ea

ch c

ount

erpa

rt w

ill c

onst

itute

a d

uplic

ate

orig

inal

cop

y of

thi

s Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

ex

ecut

ed c

ount

erpa

rt o

f th

is A

gree

men

t (b

ut n

ot j

ust

a si

gnat

ure

page

) by

e-m

ail

(suc

h as

in

PDF

or J

PEG

) w

ill t

ake

effe

ct a

s th

e de

liver

y of

an

exec

uted

origi

nal

coun

terp

art

of t

his

Agr

eem

ent.

[I

f th

at m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

origi

nal

of t

he e

xecu

ted

coun

terp

art

as s

oon

as

poss

ible

.]

[10.

15 E

xpo

rt C

ontr

ol:

eac

h Pa

rty

will

com

ply

with

app

licab

le U

K e

xpor

t co

ntro

l le

gisl

atio

n an

d re

gula

tions

. Ea

ch P

arty

will

com

ply

with

the

spe

cific

con

ditio

ns o

f an

y U

S e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in w

riting

and

whi

ch a

re

appl

icab

le t

o it.

]

SIG

NE

D

for

and

on

beha

lf of

th

e In

stitu

tion:

Nam

e

Posi

tion

Sig

natu

re

SIG

NE

D

for

and

on

beha

lf of

th

e Col

labo

rato

r:

Nam

e

Posi

tion

Sig

natu

re

[Rea

d an

d un

ders

tood

by

the

Prin

cipa

l Rea

d an

d un

ders

tood

by

the

Inve

stig

ator

:Col

labo

rato

r’s

Sup

ervi

sor:

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

. Sig

natu

re

Sig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e]

293

SC

HED

ULE

1

T

he

Fin

anci

al C

on

trib

uti

on

SC

HED

ULE

2

T

he

Pro

ject

Pla

n

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Lo

cati

on

B

ackg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Ta

sks

to b

e ca

rrie

d o

ut

by e

ach

Par

ty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cili

ties

an

d e

qu

ipm

ent

each

Par

ty is

to

pro

vid

e R

esu

lts

An

tici

pat

ed

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s

294

SC

HED

ULE

3

G

ood

Dat

a M

anag

emen

t P

ract

ices

1.

Res

earc

h da

ta m

ust

be g

ener

ated

usi

ng s

ound

sci

entif

ic t

echn

ique

s an

d pr

oces

ses;

2.

Res

earc

h da

ta

mus

t be

ac

cura

tely

re

cord

ed

in

acco

rdan

ce

with

go

od

scie

ntifi

c pr

actic

es b

y th

e pe

ople

con

duct

ing

the

rese

arch

;

3.

Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in a

ccor

danc

e w

ith

good

sci

entif

ic p

ract

ices

;

4.

Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.

Dat

a tr

ails

mus

t be

kep

t to

allo

w p

eopl

e to

dem

onst

rate

eas

ily a

nd t

o re

cons

truc

t ke

y de

cisi

ons

mad

e du

ring

the

con

duct

of th

e re

sear

ch,

pres

enta

tions

mad

e ab

out

the

rese

arch

and

con

clus

ions

rea

ched

in r

espe

ct o

f th

e re

sear

ch;

and

6.

Each

Par

ty h

as t

he r

ight

, on

not

less

tha

n [3

0] d

ays

writt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

th

at th

e ot

her

Part

y is

co

mpl

ying

w

ith th

e ab

ove

prac

tices

an

d pr

oced

ures

.

SC

HED

ULE

4

A

nti

-Bri

ber

y

1.

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

1.

1 co

mpl

y w

ith a

ll la

ws,

sta

tute

s an

d re

gula

tions

whi

ch a

pply

to

it or

its

activ

ities

an

d w

hich

rel

ate

to a

nti-br

iber

y or

ant

i-co

rrup

tion

(or

both

) in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

th

e Bribe

ry A

ct 2

010

if it

had

been

car

ried

out

in t

he U

nite

d K

ingd

om;

1.

3 ha

ve p

olic

ies

and

proc

edur

es (

incl

udin

g ad

equa

te p

roce

dure

s as

det

erm

ined

in

acco

rdan

ce w

ith s

ectio

n 7(

2) o

f th

e Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed

unde

r se

ctio

n 9

of t

hat

Act

) to

ens

ure

com

plia

nce

with

par

agra

phs

1.1

and

1.2

abov

e;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to i

n pa

ragr

aph

1.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er P

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.

7 ke

ep ac

cura

te an

d up

to

date

re

cord

s an

d bo

oks

of ac

coun

t sh

owin

g al

l pa

ymen

ts m

ade

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to c

ompl

y w

ith t

his

Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.);

and

1.

8 on

req

uest

dur

ing

norm

al w

orki

ng h

ours

, al

low

the

oth

er P

arty

acc

ess

to a

nd

to c

opy

thos

e re

cord

s an

d ac

coun

ts a

nd t

o m

eet

with

its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.

Each

Pa

rty

will

en

sure

th

at

any

pers

on

asso

ciat

ed

with

it

(as

dete

rmin

ed

in

acco

rdan

ce w

ith s

ectio

n 8

of t

he B

ribe

ry A

ct 2

010

and

para

grap

h 6

belo

w)

who

is

invo

lved

in

the

Proj

ect,

is

invo

lved

in

the

Proj

ect

only

on

the

basi

s of

a w

ritt

en

cont

ract

whi

ch i

mpo

ses

on t

hat

pers

on t

erm

s eq

uiva

lent

to

thos

e im

pose

d on

tha

t Pa

rty

in t

his

Sch

edul

e.

3.

Each

Par

ty w

ill e

nsur

e th

at e

ach

pers

on r

efer

red

to i

n pa

ragr

aph

2 ab

ove

com

plie

s w

ith t

erm

s eq

uiva

lent

to

the

term

s im

pose

d by

thi

s Sch

edul

e, a

nd w

ill b

e lia

ble

to t

he

othe

r Pa

rty

for

any

brea

ch b

y th

at p

erso

n of

any

of

thos

e te

rms.

4.

A p

erso

n as

soci

ated

with

a p

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

co

mpa

nies

and

sub

cont

ract

ors

and

thei

r re

spec

tive

empl

oyee

s.

295

SC

HED

ULE

5

D

ata

Pro

tect

ion

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l D

ata

on b

ehal

f of

the

oth

er

Part

y (t

he

Dat

a C

on

tro

ller)

, th

e pr

ovis

ions

of

this

Sch

edul

e w

ill a

pply

. 1.

Th

e Pa

rty

whi

ch c

arries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at P

erso

nal D

ata

in a

ccor

danc

e w

ith t

he D

ata

Prot

ectio

n Le

gisl

atio

n,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

wou

ld h

ave

wer

e th

eir

Pers

onal

Dat

a be

ing

Proc

esse

d by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly in

ac

cord

ance

w

ith th

e D

ata

Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal

and

orga

nisa

tiona

l m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

the

sec

urity

of

that

Per

sona

l D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

offic

ers

and

agen

ts w

ho m

ay h

ave

acce

ss t

o, o

r be

inv

olve

d in

, th

e Pr

oces

sing

of

that

Per

sona

l D

ata.

W

ithou

t pr

ejud

ice

to t

he g

ener

ality

of

the

fore

goin

g, i

t w

ill k

eep

that

Per

sona

l D

ata

secu

re f

rom

any

una

utho

rise

d or

ac

cide

ntal

use

, ac

cess

, di

sclo

sure

, da

mag

e, lo

ss o

r de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’

requ

ests

fo

r ac

cess

to

, in

form

atio

n ab

out,

an

d th

e re

ctifi

catio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sh

ould

it

rece

ive

any

requ

est

or

enqu

iry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al

Dat

a be

ing

Proc

esse

d fo

r th

e D

ata

Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

the

Dat

a Con

trol

ler

may

rea

sona

bly

requ

est,

an

d no

t re

spon

d to

an

y su

ch

requ

est

or

enqu

iry

with

out

first

ob

tain

ing

the

Dat

a Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch in

volv

es t

hat

Pers

onal

Dat

a or

bre

ach

of t

his

para

grap

h 1;

and

1.

7 no

t tr

ansf

er t

hat

Pers

onal

Dat

a ou

tsid

e th

e Eu

rope

an E

cono

mic

Are

a [t

o a

terr

itory

whi

ch d

oes

not

prot

ect

the

righ

ts a

nd f

reed

oms

of D

ata

Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph 1

ab

ove,

and

will

giv

e th

e D

ata

Con

trol

ler

any

assi

stan

ce w

hich

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l let

ter

(and

no

t de

fined

els

ewhe

re i

n th

is A

gree

men

t) h

ave

the

mea

ning

giv

en t

o th

em i

n th

e D

ata

Prot

ectio

n Le

gisl

atio

n.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it int

o lin

e w

ith a

ny a

men

dmen

t to

or

re-e

nact

men

t of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n, i

n pa

rtic

ular

to

refle

ct a

ny E

urop

ean

Gen

eral

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed

afte

r th

e da

te o

f th

is A

gree

men

t, o

r to

allo

w e

ach

of t

he P

artie

s to

com

ply

with

any

re

quirem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

n C

omm

issi

oner

or

any

othe

r da

ta

prot

ectio

n or

sup

ervi

sory

aut

hority

in r

elat

ion

to t

he P

roce

ssin

g of

Per

sona

l Dat

a.

5.

Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

d ef

fect

for

so

long

as

the

Dat

a Pr

oces

sor

Proc

esse

s an

y Pe

rson

al D

ata

on b

ehal

f of

the

D

ata

Con

trol

ler,

not

withs

tand

ing

the

term

inat

ion

of t

his

Agr

eem

ent

or t

he c

ompl

etio

n of

the

Pro

ject

. 6.

Th

e D

ata

Proc

esso

r w

ill i

ndem

nify

the

Dat

a Con

trol

ler

and

keep

the

Dat

a Con

trol

ler

fully

an

d ef

fect

ivel

y in

dem

nifie

d on

de

man

d ag

ains

t al

l co

sts,

cla

ims,

de

man

ds,

expe

nses

and

liab

ilitie

s of

any

nat

ure

aris

ing

out

of o

r in

con

nect

ion

with

any

bre

ach

by t

he D

ata

Proc

esso

r of

thi

s Sch

edul

e.

OR

Whe

re b

oth

Part

ies

dete

rmin

e th

e pu

rpos

e of

the

Pro

cess

ing

in r

espe

ct o

f an

y Pe

rson

al D

ata

whi

ch is

Proc

esse

d in

the

cou

rse

of o

r fo

r th

e pu

rpos

e of

the

Pro

ject

, th

e pr

ovis

ions

of

this

Sch

edul

e w

ill a

pply

.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch i

t Pr

oces

ses

in

conn

ectio

n w

ith t

he P

roje

ct. It

will

:

1.

1 Pr

oces

s th

at P

erso

nal

Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal

mea

sure

s as

may

be

appr

opriat

e to

en

sure

the

sec

urity

of

that

Per

sona

l D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

offic

ers

and

agen

ts w

ho m

ay h

ave

acce

ss t

o, o

r be

inv

olve

d in

, th

e Pr

oces

sing

of

that

Per

sona

l D

ata.

W

ithou

t pr

ejud

ice

to t

he g

ener

ality

of

the

fore

goin

g, i

t w

ill k

eep

that

Per

sona

l D

ata

secu

re f

rom

any

una

utho

rise

d or

ac

cide

ntal

use

, ac

cess

, di

sclo

sure

, da

mag

e, lo

ss o

r de

stru

ctio

n;

1.

4 gi

ve t

he o

ther

Par

ty s

uch

info

rmat

ion

and

assi

stan

ce a

s it

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he o

ther

Par

ty t

o m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

part

icul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o, i

nfor

mat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er p

arty

suc

h as

sist

ance

in

deal

ing

with

th

at r

eque

st o

r en

quiry

as it

may

rea

sona

bly

requ

est;

296

1.6

notif

y th

e ot

her

Part

y im

med

iate

ly of

an

y ac

tual

or

su

spec

ted

brea

ch of

se

curity

whi

ch in

volv

es t

hat

Pers

onal

Dat

a or

bre

ach

of t

his

para

grap

h 1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e righ

ts a

nd f

reed

oms

of D

ata

Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

par

ty’s

writt

en c

onse

nt.

2.

Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l rea

sona

ble

times

to

insp

ect

and

revi

ew t

he

step

s be

ing

take

n by

it

to c

ompl

y w

ith p

arag

raph

1 a

bove

, an

d w

ill g

ive

the

othe

r Pa

rty

any

assi

stan

ce w

hich

it r

easo

nabl

y re

quires

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

in p

arag

raph

1, 2

, 4,

5 o

r 6

begi

nnin

g w

ith a

cap

ital

lett

er (

and

not

defin

ed e

lsew

here

in

this

Agr

eem

ent)

hav

e th

e m

eani

ng g

iven

to

them

in

the

Dat

a Pr

otec

tion

Legi

slat

ion.

4.

The

part

ies

will

agr

ee t

o an

y re

ason

able

am

endm

ent

to t

his

Sch

edul

e to

bring

it

into

lin

e w

ith a

ny a

men

dmen

t to

or

re-e

nact

men

t of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n, i

n pa

rtic

ular

to

refle

ct t

he E

urop

ean

Gen

eral

Dat

a Pr

otec

tion

Reg

ulat

ion

intr

oduc

ed a

fter

th

e da

te o

f th

is A

gree

men

t, o

r to

allo

w e

ach

of t

he P

artie

s to

com

ply

with

any

re

quirem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

n C

omm

issi

oner

or

any

othe

r da

ta

prot

ectio

n or

sup

ervi

sory

aut

hority

in r

elat

ion

to t

he P

roce

ssin

g of

Per

sona

l Dat

a.

5.

Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

d ef

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

the

ot

her

Part

y, n

otw

ithst

andi

ng t

he t

erm

inat

ion

of t

his

Agr

eem

ent

or t

he c

ompl

etio

n of

th

e Pr

ojec

t.

[SC

HED

ULE

6]

P

art

1 -

Hu

man

Rig

hts

1.

U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

pe

rfor

man

ce o

f th

is A

gree

men

t:

1.

56

not

empl

oy,

enga

ge o

r us

e an

y ch

ild l

abou

r in

circu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.57

no

t us

e fo

rced

labo

ur in

any

for

m (

pris

on,

inde

ntur

ed,

bond

ed o

r ot

herw

ise)

;

1.58

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.59

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

an

d if

any

acco

mm

odat

ion

is

prov

ided

by

th

at

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe for

hab

itatio

n;

1.60

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re

to

its

empl

oyee

s in

the

eve

nt o

f ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

; 1.

61

not

disc

rim

inat

e ag

ains

t an

y em

ploy

ee o

n an

y gr

ound

(in

clud

ing

race

, re

ligio

n,

disa

bilit

y or

gen

der)

;

1.62

no

t en

gage

in

or s

uppo

rt t

he u

se o

f co

rpor

al p

unis

hmen

t, m

enta

l, ph

ysic

al,

sexu

al o

r ve

rbal

abu

se;

1.63

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.64

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

the

pr

evai

ling

indu

stry

w

age,

(w

hich

ever

is

th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.

65

com

ply

with

th

e la

ws

on

wor

king

ho

urs

and

empl

oym

ent

righ

ts

in

the

coun

trie

s in

whi

ch it

ope

rate

s; a

nd

1.66

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

ind

epen

dent

tra

de u

nion

s an

d fr

eedo

m o

f as

soci

atio

n.

2.

Each

Par

ty a

gree

s th

at it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

nd t

hat

it w

ill

enco

urag

e co

mpl

ianc

e w

ith

ethi

cal

stan

dard

s an

d hu

man

righ

ts

by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by i

t w

hen

perf

orm

ing

its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.

Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal w

ith a

ny b

reac

hes

of t

hose

po

licie

s.

P

art

2 –

An

ti-S

lave

ry

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

297

46.

com

ply

with

all

law

s, s

tatu

tes

and

regu

lation

s w

hich

app

ly t

o it

or i

ts a

ctiv

ities

and

w

hich

rel

ate

to a

nti-sl

aver

y an

d hu

man

tra

ffic

king

, in

clud

ing

the

Mod

ern

Sla

very

Act

20

15;

47

. no

t do

any

thin

g w

hich

wou

ld c

onst

itute

an

offe

nce

unde

r se

ctio

n 1,

2 o

r 4

Mod

ern

Sla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

48

. ha

ve

and

mai

ntai

n its

ow

n po

licie

s an

d pr

oced

ures

to

en

sure

co

mpl

ianc

e w

ith

para

grap

hs 1

and

2 a

bove

;

49

. fo

llow

and

enf

orce

the

pol

icie

s an

d pr

oced

ures

ref

erre

d to

in p

arag

raph

3 a

bove

;

50.

incl

ude

in its

con

trac

ts w

ith its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

d hu

man

tr

affic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of

this

Sch

edul

e;

51

. pr

ompt

ly r

epor

t to

the

oth

er P

arty

any

bre

ach

of t

his

sect

ion

of t

his

Sch

edul

e of

w

hich

it b

ecom

es a

war

e;

52

. pr

ovid

e su

ch e

vide

nce

of c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e as

the

oth

er

Part

y m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

53.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by i

t to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.);

and

54.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

th

e re

cord

s re

ferr

ed t

o in

par

agra

ph 8

abo

ve a

nd t

o m

eet

with

its

pers

onne

l to

verif

y co

mpl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e.

[P

art

3 –

th

e C

olla

bo

rato

r’s

Po

licie

s an

d P

roce

du

res

Each

Par

ty w

ill c

ompl

y w

ith t

he f

ollo

win

g:

[Ins

ert

deta

ils]]

Dat

ed _

____

____

____

____

____

____

201[

]

(1

) [I

NS

ERT

NA

ME]

(2)

[IN

SER

T N

AM

E]

MO

DE

L C

OLL

AB

OR

ATI

ON

AG

RE

EME

NT

6

FOR

A K

NO

WLE

DG

E T

RA

NS

FER

PA

RT

NER

SH

IP

S

cen

ario

- A

gra

du

ate

stu

den

t ca

rrie

s o

ut

the

Pro

ject

an

d t

he

Com

pan

y o

wn

s th

e R

esu

lts.

Th

e In

stit

uti

on

has

th

e ri

gh

t to

use

th

e R

esu

lts

for

Aca

dem

ic a

nd

Res

earc

h

Pu

rpos

es.

Aca

dem

ic P

ub

licat

ion

is p

erm

itte

d.

298

THIS

AG

REE

ME

NT

date

d […

……

……

……

……

……

……

……

…..

] 2

01[]

is m

ade

BE

TWEE

N:

(1)

[IN

SER

T N

AM

E],

who

se

adm

inis

trat

ive

offic

es

are

at

[ins

ert

addr

ess]

(t

he

Inst

itu

tio

n);

and

(2

) [I

NS

ERT

NA

ME]

[LI

MIT

ED]

OR

[P

LC][

, a

com

pany

reg

iste

red

in [

Engl

and]

und

er

num

ber

[ins

ert

num

ber]

, w

hose

reg

iste

red

offic

e is

at

[ins

ert

addr

ess

of r

egis

tere

d of

fice]

OR

[in

sert

sta

tus

of t

he C

ompa

ny,

e.g.

NH

S T

rust

] of

[in

sert

add

ress

of

prin

cipa

l off

ice]

(th

e C

omp

any)

B

AC

KG

RO

UN

D

(A)

The

Inst

itutio

n an

d th

e Com

pany

hav

e su

bmitt

ed t

he P

ropo

sal

to t

he T

echn

olog

y Str

ateg

y Boa

rd u

nder

the

Kno

wle

dge

Tran

sfer

Par

tner

ship

sch

eme;

(B)

the

Tech

nolo

gy S

trat

egy

Boa

rd h

as a

gree

d to

aw

ard

a gr

ant

for

the

Proj

ect

subj

ect

to t

he t

erm

s of

the

Gra

nt O

ffer

Let

ter

and

Prop

osal

;

(C)

The

Com

pany

has

agr

eed

to p

rovi

de p

art

of t

he f

undi

ng f

or t

he P

roje

ct a

s se

t ou

t in

Sch

edul

e 1;

and

(D)

The

Inst

itutio

n, i

n ac

cord

ance

with

the

Joi

nt C

omm

itmen

t Sta

tem

ent,

has

agr

eed

to

empl

oy t

he A

ssoc

iate

. 1.

D

EFIN

ITIO

NS

1.

1 In

thi

s Agr

eem

ent

the

follo

win

g ex

pres

sion

s ha

ve t

he m

eani

ng s

et o

ppos

ite:

A

cad

emic

Pu

blic

atio

n:

the

publ

icat

ion

of a

n ab

stra

ct,

artic

le o

r pa

per

in

a jo

urna

l or

an

el

ectr

onic

re

posi

tory

, or

its

pr

esen

tatio

n at

a c

onfe

renc

e or

sem

inar

; an

d in

cl

ause

s 5

and

6 to

Pu

blis

h a

nd P

ub

licat

ion

are

to

be

cons

true

d as

mea

ning

suc

h pu

blic

atio

n or

pr

esen

tatio

n;

A

cad

emic

an

d

Res

earc

h

Pu

rpo

ses:

rese

arch

[(

exce

pt

[ins

ert

any

exce

ptio

ns])

, te

achi

ng[,

and

] ed

ucat

ion[

and

Clin

ical

Pat

ient

Car

e];

th

is A

gre

emen

t:

this

doc

umen

t, t

he G

rant

Off

er L

ette

r an

d th

e Pr

opos

al a

nd t

his

docu

men

t’s

Sch

edul

es,

each

as

amen

ded

from

tim

e to

tim

e in

acc

orda

nce

with

cl

ause

10.

8;

th

e A

ssoc

iate

: th

e in

divi

dual

(ed

ucat

ed t

o at

lea

st B

ache

lors

, em

ploy

ed b

y th

e In

stitu

tion

and

sele

cted

joi

ntly

by

the

Ins

titut

ion

and

the

Com

pany

) w

ho w

ill

carr

y ou

t th

e Pr

ojec

t;

B

ackg

rou

nd:

in

form

atio

n,

data

, te

chni

ques

, Kno

w-h

ow,

inve

ntio

ns,

soft

war

e, d

isco

veries

and

mat

eria

ls

(reg

ardl

ess

of t

he f

orm

or

med

ium

in w

hich

the

y

are

disc

lose

d or

sto

red)

whi

ch a

re p

rovi

ded

by

one

Part

y (w

heth

er b

elon

ging

to

that

Par

ty o

r to

a

third

par

ty)

to t

he o

ther

Par

ty f

or u

se i

n th

e Pr

ojec

t, a

nd w

heth

er b

efor

e or

aft

er t

he d

ate

of

thi s

Agr

eem

ent,

exc

ept

any

Res

ult;

a B

usi

nes

s D

ay:

Mon

day

to

Frid

ay

(inc

lusi

ve)

exce

pt

bank

or

pu

blic

hol

iday

s in

[En

glan

d];

[C

linic

al P

atie

nt

Car

e:

any

of t

he f

ollo

win

g: d

iagn

osin

g, t

reat

ing

and

man

agin

g th

e he

alth

of

a pe

rson

und

er t

he c

are

of a

thi

rd p

arty

med

ical

pra

ctiti

oner

who

has

the

righ

t to

use

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

an

y of

the

Res

ults

;]

th

e C

om

men

cem

ent

Dat

e:

[ins

ert

the

date

on

whi

ch t

he A

ssoc

iate

is t

o ta

ke

up h

is o

r he

r ap

poin

tmen

t] O

R [

inse

rt t

he d

ate

the

Proj

ect

is t

o st

art/

star

ted]

;

the

Co

mp

any’

s S

up

ervi

sor:

[i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

Co

nfi

den

tial

In

form

atio

n:

a Pa

rty’

s co

nfid

entia

l in

form

atio

n is

: an

y Bac

kgro

und

disc

lose

d by

tha

t Pa

rty

to t

he o

ther

Pa

rty

for

use

in t

he P

roje

ct[

and

iden

tifie

d as

co

nfid

ential

bef

ore

or a

t th

e tim

e of

dis

clos

ure]

; an

y of

the

Res

ults

in

whi

ch t

hat

Part

y ow

ns t

he

Inte

llect

ual

Prop

erty

Rig

hts;

;

and

any

othe

r in

form

atio

n di

sclo

sed

by t

hat

Part

y to

the

oth

er

Part

y fo

r us

e in

th

e Pr

ojec

t or

un

der

this

Agr

eem

ent[

and

ide

ntifi

ed a

s co

nfid

entia

l be

fore

or

at

th

e tim

e of

di

sclo

sure

or

w

hich

, by

its

na

ture

or

fr

om

the

circ

umst

ance

s of

its

di

sclo

sure

, sh

ould

rea

sona

bly

be p

resu

med

to

be

conf

iden

tial]

;

Co

ntr

ol:

th

e ab

ility

to

dire

ct t

he a

ffai

rs o

f an

othe

r pe

rson

, w

heth

er b

y vi

rtue

of

the

owne

rshi

p of

sha

res,

by

cont

ract

, or

in a

ny o

ther

way

;

the

Dat

a P

rote

ctio

n

Leg

isla

tion

: w

hile

the

y re

mai

n in

for

ce t

he D

ata

Prot

ectio

n Act

19

98,

the

Euro

pean

D

ata

Prot

ectio

n D

irec

tive,

the

Reg

ulat

ion

of I

nves

tigat

ory

Pow

ers

Act

20

00,

the

Tele

com

mun

icat

ions

(L

awfu

l Bus

ines

s Pr

actic

e)

(Int

erce

ptio

n of

Com

mun

icat

ions

) Reg

ulat

ions

20

00,

the

Elec

tron

ic

Com

mun

icat

ions

D

ata

Prot

ectio

n D

irec

tive,

th

e Pr

ivac

y an

d El

ectr

onic

Com

mun

icat

ions

(E

C

Dire

ctiv

e)

Reg

ulat

ions

20

03,

once

it

com

es in

to fo

rce

the

Euro

pean

G

ener

al

Dat

a Pr

otec

tion

Reg

ulat

ion

and

any

othe

r la

ws

and

regu

latio

ns

rela

ting

to

the

proc

essi

ng o

f pe

rson

al d

ata

and

priv

acy

whi

ch

299

appl

y to

a P

arty

and

, if

appl

icab

le,

the

guid

ance

an

d co

des

of p

ract

ice

issu

ed b

y th

e In

form

atio

n C

omm

issi

oner

or

othe

r re

leva

nt d

ata

prot

ectio

n or

sup

ervi

sory

aut

hority

;

the

Ext

ern

al F

un

din

g:

the

fund

ing

prov

ided

fo

r th

e Pr

ojec

t by

th

e Te

chno

logy

Str

ateg

y Bo

ard

unde

r th

e te

rms

of

the

Gra

nt O

ffer

Let

ter;

the

Fin

anci

al C

on

trib

uti

on

: th

e fin

anci

al c

ontr

ibut

ion

to b

e pr

ovid

ed b

y th

e Com

pany

set

out

in S

ched

ule

1;

th

e G

oo

d D

ata

Man

agem

ent

Pra

ctic

es:

the

prac

tices

and

pro

cedu

res

set

out

in S

ched

ule

4;

the

Gra

nt

Off

er L

ette

r:

the

lett

er f

rom

the

Tec

hnol

ogy

Str

ateg

y Boa

rd

date

d [ins

ert

date

] 20

1[],

a c

opy

of w

hich

is

atta

ched

to

this

Agr

eem

ent

as S

ched

ule

3;

a

Gro

up

Co

mp

any:

an

y un

dert

akin

g w

hich

fo

r th

e tim

e be

ing

Con

trol

s, o

r is

Con

trol

led

by,

the

Com

pany

or

whi

ch f

or t

he t

ime

bein

g is

Con

trol

led

by a

thi

rd

pers

on w

hich

als

o Con

trol

s th

e Com

pany

;

Inte

llect

ual

P

rop

erty

R

igh

ts:

pate

nts,

righ

ts

to

inve

ntio

ns,

trad

e m

arks

, se

rvic

e m

arks

, re

gist

ered

de

sign

s,

copy

righ

ts

and

rela

ted

righ

ts,

data

base

righ

ts,

desi

gn

righ

ts,

righ

ts

to

use

and

prot

ect

conf

iden

tial

in

form

atio

n, i

n ea

ch c

ase

whe

ther

reg

iste

red

or

unre

gist

ered

, in

clud

ing

righ

ts t

o ap

ply

for

and

be

gran

ted

and

appl

icat

ions

for

any

of

the

abov

e an

d an

y co

ntin

uatio

ns,

cont

inua

tions

-in-

part

, di

visi

onal

ap

plic

atio

ns,

rene

wal

s or

ex

tens

ions

of

, an

d righ

ts

to

clai

m

prio

rity

fr

om,

thos

e righ

ts,

and

any

sim

ilar

righ

t re

cogn

ised

fro

m

time

to t

ime

in a

ny j

uris

dict

ion,

tog

ethe

r w

ith a

ll righ

ts o

f ac

tion

in r

elat

ion

to t

he in

frin

gem

ent

of

any

of t

he a

bove

; th

e Jo

int

Co

mm

itm

ent

Sta

tem

ent:

th

e Jo

int

Com

mitm

ent

Sta

tem

ent

sign

ed b

y bo

th

Part

ies

and

date

d [i

nser

t da

te],

a c

opy

of w

hich

is

at

tach

ed

to

this

Agr

eem

ent

as

part

of

Sch

edul

e 2;

th

e K

ey P

erso

nn

el:

the

Lead

Aca

dem

ic,

the

Ass

ocia

te

and

the

Com

pany

’s S

uper

viso

r;

K

no

w-h

ow:

unpa

tent

ed

tech

nica

l in

form

atio

n (i

nclu

ding

in

form

atio

n re

latin

g to

in

vent

ions

, di

scov

erie

s,

conc

epts

, m

etho

dolo

gies

, m

odel

s,

rese

arch

, de

velo

pmen

t an

d te

stin

g pr

oced

ures

, th

e re

sults

of

exp

erim

ents

, te

sts

and

tria

ls,

man

ufac

turing

pr

oces

ses,

tec

hniq

ues

and

spec

ifica

tions

, qu

ality

cont

rol d

ata,

ana

lyse

s, r

epor

ts a

nd s

ubm

issi

ons)

w

hich

is n

ot in

the

pub

lic d

omai

n;

th

e Le

ad A

cad

emic

: [i

nser

t na

me]

or

his

or h

er s

ucce

ssor

app

oint

ed

unde

r cl

ause

9.2

;

a P

arty

:

the

Inst

itutio

n or

the

Com

pany

and

any

per

son

who

be

com

es

a pa

rty

to

this

Agr

eem

ent

purs

uant

to

clau

se 2

.15,

and

tog

ethe

r th

ey a

re

the

Par

ties

;

the

Pro

ject

: th

e pr

ogra

mm

e of

w

ork

desc

ribe

d in

th

e Pr

opos

al,

as

amen

ded

from

tim

e to

tim

e in

ac

cord

ance

with

cla

use

10.8

;

the

Pro

ject

Per

iod

: th

e pe

riod

des

crib

ed in

cla

use

2.1;

the

Pro

po

sal:

th

e gr

ant

appl

icat

ion

and

prop

osal

sub

mitt

ed t

o th

e Te

chno

logy

Str

ateg

y Boa

rd b

y th

e In

stitu

tion

and

Com

pany

fo

r a

Kno

wle

dge

Tran

sfer

Pa

rtne

rshi

p, a

cop

y of

whi

ch i

s at

tach

ed t

o th

is

Agr

eem

ent

as p

art

of S

ched

ule

2;

th

e R

esu

lts:

al

l in

form

atio

n,

data

te

chni

ques

, Kno

w-h

ow,

resu

lts,

inve

ntio

ns,

soft

war

e,

disc

over

ies

and

mat

eria

ls (

rega

rdle

ss o

f th

e fo

rm o

r m

ediu

m i

n w

hich

the

y ar

e di

sclo

sed

or s

tore

d) i

dent

ified

or

first

red

uced

to

prac

tice

or w

ritin

g or

dev

elop

ed

in t

he c

ours

e of

the

Pro

ject

;

a

Var

iati

on

Ag

reem

ent:

a

writt

en a

gree

men

t si

gned

by

or o

n be

half

of

the

Part

ies

and

any

pro

pose

d ne

w p

arty

to

this

Agr

eem

ent;

and

VA

T:

valu

e ad

ded

tax

char

geab

le

unde

r th

e Val

ue

Add

ed T

ax A

ct 1

994,

or

any

tax

repl

acin

g th

at

tax.

1.

2 Th

e he

adin

gs in

this

Agr

eem

ent

are

for

ease

of

refe

renc

e on

ly;

they

do

not

affe

ct it

s co

nstr

uctio

n or

inte

rpre

tatio

n.

1.3

Ref

eren

ces

in t

his

Agr

eem

ent

to a

per

son

inc

lude

a n

atur

al p

erso

n, c

orpo

rate

or

unin

corp

orat

ed b

ody

(whe

ther

or

not

it ha

s a

sepa

rate

lega

l per

sona

lity)

. 1.

4 A r

efer

ence

in

this

Agr

eem

ent

to a

sta

tute

or

stat

utor

y pr

ovis

ion

is a

ref

eren

ce t

o it

as a

men

ded,

ext

ende

d or

re-

enac

ted

from

tim

e to

tim

e an

d in

clud

es a

ll su

bord

inat

e le

gisl

atio

n m

ade

from

tim

e to

tim

e un

der

that

sta

tute

or

stat

utor

y pr

ovis

ion.

1.

5 A r

efer

ence

in t

his

Agr

eem

ent

to w

riti

ng o

r w

ritt

en in

clud

es e

mai

l. 1.

6 A r

efer

ence

in t

his

Agr

eem

ent

to a

ny o

ther

agr

eem

ent

or d

ocum

ent

is a

ref

eren

ce t

o th

at o

ther

agr

eem

ent

or d

ocum

ent

as v

arie

d or

nov

ated

(in

eac

h ca

se,

unle

ss i

n br

each

of th

is A

gree

men

t) f

rom

tim

e to

tim

e.

300

1.7

Ref

eren

ces

in th

is Agr

eem

ent

to c

laus

es an

d Sch

edul

es ar

e to

th

e cl

ause

s an

d Sch

edul

es o

f th

is A

gree

men

t an

d re

fere

nces

to

para

grap

hs a

re t

o pa

ragr

aphs

of

the

rele

vant

Sch

edul

e.

1.8

Any

wor

ds i

n th

is A

gree

men

t fo

llow

ing

the

expr

essi

on i

ncl

ud

ing,

incl

ud

e or

in

p

arti

cula

r or

any

sim

ilar

expr

essi

on a

re t

o be

con

stru

ed a

s ill

ustr

ativ

e an

d do

not

lim

it th

e se

nse

of t

he w

ords

pre

cedi

ng t

hat

expr

essi

on.

1.9

The

acts

an

d om

issi

ons

of

its

Gro

up

Com

pani

es

are

deem

ed

to

be

with

in

the

Col

labo

rato

r’s

cont

rol,

the

acts

and

om

issi

ons

of s

tude

nts

are

deem

ed t

o be

with

in

the

Inst

itutio

n’s

cont

rol an

d th

e ac

ts a

nd o

mis

sion

s of

any

con

trac

tor

are

deem

ed t

o be

with

in t

he c

ontr

ol o

f th

e Pa

rty

enga

ging

tha

t co

ntra

ctor

. 1.

10

If t

here

is

any

conf

lict

betw

een

the

term

s of

the

Gra

nt O

ffer

Let

ter,

thi

s Agr

eem

ent

and

the

Prop

osal

and

the

Joi

nt C

omm

itmen

t Sta

tem

ent,

the

Gra

nt O

ffer

Let

ter

will

pr

evai

l ove

r th

is A

gree

men

t an

d th

e Pr

opos

al a

nd t

he J

oint

Com

mitm

ent

Sta

tem

ent,

an

d th

is

Agr

eem

ent

will

pr

evai

l ov

er

the

Prop

osal

an

d th

e Jo

int

Com

mitm

ent

Sta

tem

ent.

2.

TH

E P

RO

JEC

T 2.

1 Th

e Pr

ojec

t [w

ill b

egin

on]

OR

[beg

an o

n] t

he C

omm

ence

men

t D

ate

and

will

con

tinu

e un

til [

the

earlie

r of

the

with

draw

al o

f th

e Ex

tern

al F

undi

ng a

nd]

the

com

plet

ion

of t

he

Proj

ect

or

any

late

r da

te

agre

ed

in

writin

g be

twee

n th

e Pa

rtie

s,

or

until

th

is

Agr

eem

ent

is t

erm

inat

ed i

n ac

cord

ance

with

cla

use

8 or

9.

If t

his

Agr

eem

ent

is

ente

red

into

aft

er t

he C

omm

ence

men

t D

ate,

it

will

app

ly r

etro

spec

tivel

y to

wor

k ca

rrie

d ou

t in

rel

atio

n to

the

Pro

ject

on

or a

fter

the

Com

men

cem

ent

Dat

e.

2.2

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s]

will

car

ry o

ut t

he t

asks

allo

tted

to

it in

[S

ched

ule

2 an

d] t

he P

ropo

sal,

and

will

pro

vide

the

hum

an a

nd o

ther

res

ourc

es,

Bac

kgro

und,

m

ater

ials

, fa

cilit

ies

and

equi

pmen

t w

hich

ar

e de

sign

ated

as

its

re

spon

sibi

lity

in [

Sch

edul

e 2

and]

the

Pro

posa

l. Th

e Pr

ojec

t w

ill b

e ca

rrie

d ou

t un

der

the

dire

ctio

n an

d su

perv

isio

n of

the

Lea

d Aca

dem

ic a

nd t

he C

ompa

ny’s

Sup

ervi

sor.

Th

e In

stitu

tion’

s ta

sks

will

be

perf

orm

ed b

y th

e Ass

ocia

te u

nder

the

sup

ervi

sion

of

the

Lead

Aca

dem

ic.

The

Part

ies

will

man

age

the

Proj

ect

in a

ccor

danc

e w

ith t

he J

oint

Com

mitm

ent

Sta

tem

ent.

2.

3 [T

he I

nstit

utio

n] O

R [

Eac

h of

the

Par

ties]

will

obt

ain

and

mai

ntai

n al

l re

gula

tory

an

d et

hica

l lic

ence

s, c

onse

nts

and

appr

oval

s ne

cess

ary

to a

llow

it t

o ca

rry

out

the

task

s al

lotte

d to

it

in [

Sch

edul

e 2

and]

the

Pro

posa

l an

d w

ill c

arry

out

the

P

roje

ct in

acc

orda

nce

with

all

law

s an

d re

gula

tions

whi

ch a

pply

to

its a

ctiv

ities

un

der o

r pur

suan

t to

this

Agr

eem

ent.

2.4

The

Inst

itutio

n w

ill e

nsur

e th

at th

e A

ssoc

iate

and

eac

h of

the

Par

ties

will

ens

ure

that

its

oth

er e

mpl

oyee

s an

d st

uden

ts (

if an

y) i

nvol

ved

in t

he P

roje

ct:

obse

rve

the

cond

ition

s at

tach

ing

to a

ny r

egul

ator

y an

d et

hica

l lic

ence

s, c

onse

nts

and

appr

oval

s;

keep

com

plet

e an

d ac

cura

te r

ecor

ds o

f al

l re

sear

ch,

deve

lopm

ent

and

othe

r w

ork

carr

ied

out

in c

onne

ctio

n w

ith t

he P

roje

ct a

nd o

f al

l Res

ults

, si

gned

by

the

peop

le

who

obt

aine

d or

mad

e ea

ch R

esul

t, a

nd c

ount

ersi

gned

by

an e

mpl

oyee

of

that

Par

ty

who

is

not

a m

embe

r of

the

res

earc

h te

am b

ut w

ho u

nder

stan

ds t

he w

ork;

and

co

mpl

y w

ith t

he G

ood

Dat

a M

anag

emen

t Pr

actic

es.

2.5

Each

of

the

Part

ies

will

ens

ure

that

its

sta

ff a

nd s

tude

nts

(if

any)

(in

clud

ing

in t

he

case

of

the

Com

pany

, an

y st

aff

of a

ny G

roup

Com

pany

) in

volv

ed in

the

Pro

ject

, w

hen

wor

king

on

or v

isiti

ng t

he o

ther

Par

ty’s

pre

mis

es,

com

ply

with

the

oth

er P

arty

’s

heal

th a

nd s

afet

y an

d se

curity

pol

icie

s an

d pr

oced

ures

and

, w

hen

acce

ssin

g or

usi

ng

the

othe

r Pa

rty’

s in

form

atio

n sy

stem

s, c

ompl

y w

ith t

he o

ther

Par

ty’s

inf

orm

atio

n se

curity

pol

icie

s an

d pr

oced

ures

. 2.

6 [[

The

Inst

itutio

n]

OR

[E

ach

of

the

Part

ies]

w

ill

com

ply

with

th

e pr

ovis

ions

in

Sch

edul

e 7.

[A

t an

y tim

e du

ring

th

e Pr

ojec

t Pe

riod

, th

e Com

pany

m

ay re

quire

chan

ges

to [

Part

3 o

f] S

ched

ule

7, w

here

suc

h ch

ange

s ar

e ne

cess

ary

to e

nsur

e th

at

the

Proj

ect

is u

nder

take

n in

com

plia

nce

with

the

Com

pany

’s a

pplic

able

pol

icie

s an

d pr

oced

ures

.]]

2.7

Alth

ough

[th

e In

stitu

tion]

OR

[ea

ch o

f th

e Pa

rtie

s] w

ill u

se r

easo

nabl

e en

deav

ours

to

carr

y ou

t th

e Pr

ojec

t in

acc

orda

nce

with

[Sch

edul

e 2

and]

the

Pro

posa

l, [n

eith

er o

f th

e Pa

rtie

s un

dert

akes

] O

R [

the

Inst

itutio

n do

es n

ot u

nder

take

] th

at a

ny r

esea

rch

will

lea

d to

any

par

ticul

ar r

esul

t, n

or d

oes

it gu

aran

tee

a su

cces

sful

out

com

e to

the

Pr

ojec

t.

2.8

[The

Ins

titut

ion]

OR

[Ea

ch o

f th

e Pa

rtie

s] w

ill p

rovi

de t

he [

Com

pany

] O

R [

othe

r Pa

rty]

with

[m

onth

ly][

annu

al]

OR

[qu

arte

rly]

rep

orts

sum

mar

isin

g th

e pr

ogre

ss o

f th

e Pr

ojec

t an

d a

copy

of

all o

f th

e Res

ults

. 2.

9 [T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify t

he [

Com

pany

] O

R [

othe

r]

prom

ptly

af

ter

iden

tifyi

ng an

y Res

ult

whi

ch [t

he In

stitu

tion]

O

R [i

t] be

lieve

s is

pa

tent

able

, an

d w

ill s

uppl

y th

e [C

ompa

ny]

OR

[ot

her]

with

cop

ies

of t

hat

Res

ult.

[T

he I

nstit

utio

n] O

R [

Each

of

the

Part

ies]

will

not

ify o

ther

Res

ults

to

[the

Com

pany

] O

R [

othe

r] in

the

rep

orts

pro

vide

d un

der

clau

se 2

.8.

2.10

Th

e Pa

rtie

s w

ill p

repa

re a

nd s

ubm

it re

port

s in

acc

orda

nce

with

Pro

posa

l. As

agre

ed

by t

he P

artie

s in

the

Joi

nt C

omm

itmen

t Sta

tem

ent,

the

Com

pany

and

the

Ins

titut

ion

will

pro

duce

a j

oint

fin

al r

epor

t at

the

con

clus

ion

of t

he P

roje

ct,

in a

ccor

danc

e w

ith

the

tem

plat

e pr

ovid

ed b

y th

e Te

chno

logy

Str

ateg

y Boa

rd.

2.11

Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t it

has

full

pow

er a

nd a

utho

rity

und

er

its c

onst

itutio

n, a

nd h

as t

aken

all

nece

ssar

y ac

tions

and

obt

aine

d al

l au

thor

isat

ions

, lic

ence

s,

cons

ents

an

d ap

prov

als,

to

al

low

it

to

ente

r in

to

and

perf

orm

th

is

Agr

eem

ent

[and

it is

not

in b

reac

h of

the

Gra

nt O

ffer

Let

ter]

. 2.

12

If a

Par

ty a

gree

s to

tra

nsfe

r an

y [b

iolo

gica

l or

chem

ical

] m

ater

ial

to t

he o

ther

Par

ty

in c

onne

ctio

n w

ith t

he P

roje

ct,

that

tra

nsfe

r w

ill b

e su

bjec

t to

the

ter

ms

of a

sep

arat

e M

ater

ials

Tra

nsfe

r Agr

eem

ent

ente

red

into

bet

wee

n th

e Pa

rtie

s in

rel

atio

n to

tha

t m

ater

ial.

2.13

If

th

e G

rant

O

ffer

Le

tter

ha

s no

t al

read

y be

en

acce

pted

by

th

e Pa

rtie

s,

this

Agr

eem

ent

is c

ondi

tiona

l on

eac

h of

the

Par

ties

acce

ptin

g th

e G

rant

Off

er w

ithin

30

days

aft

er t

he d

ate

of t

he G

rant

Off

er L

ette

r.

2.14

Ea

ch o

f th

e Pa

rtie

s w

ill:

2.14

.1 c

ompl

y w

ith i

ts o

blig

atio

ns un

der,

an

d th

e co

nditi

ons

of,

the

Gra

nt O

ffer

Le

tter

;

301

2.14

.2 c

arry

out

the

Pro

ject

in a

ccor

danc

e w

ith t

he G

rant

Off

er L

ette

r; a

nd

2.14

.3 n

otify

th

e ot

her

Part

y in

ac

cord

ance

w

ith

clau

se

10.1

im

med

iate

ly

if it

rece

ives

any

not

ice

or r

eque

st fro

m t

he T

echn

olog

y Str

ateg

y Boa

rd.

2.15

N

o ad

dition

al p

erso

n m

ay b

ecom

e a

part

y to

thi

s Agr

eem

ent

with

out

the

writt

en

agre

emen

t of

bot

h th

e Com

pany

and

the

Ins

titut

ion

[and

the

Fun

ding

Bod

y] a

nd

unle

ss t

he a

dditi

onal

per

son,

the

Com

pany

and

the

Ins

titut

ion

exec

ute

a Var

iatio

n Agr

eem

ent.

3.

FIN

AN

CIA

L C

ON

TRIB

UTI

ON

AN

D E

XTE

RN

AL

FUN

DIN

G

3.1

[The

allo

catio

n of

the

Ext

erna

l Fu

ndin

g w

ill b

e as

set

out

in

Sch

edul

e 2

unle

ss t

he

Part

ies

unan

imou

sly

agre

e ot

herw

ise

in w

ritin

g.][

Each

Par

ty w

ill k

eep

com

plet

e an

d ac

cura

te a

ccou

nts

of i

ts e

xpen

ditu

re o

n th

e Pr

ojec

t].

The

Com

pany

will

pay

the

Fi

nanc

ial

Con

trib

utio

n to

th

e In

stitu

tion

in

acco

rdan

ce

with

Sch

edul

e 1

with

in

[30]

[60]

OR

[90

] da

ys a

fter

rec

eipt

by

the

Com

pany

of

a [m

onth

ly]

OR

[qu

arte

rly]

in

voic

e fo

r th

e sa

me.

W

here

the

Fin

anci

al C

ontr

ibut

ion

is b

eing

cla

imed

aga

inst

co

sts

and

expe

nses

inc

urre

d by

the

Ins

titut

ion,

eac

h in

voic

e m

ust

be a

ccom

pani

ed

by a

sta

tem

ent

cert

ified

by

an a

utho

rise

d of

ficer

of th

e In

stitu

tion.

3.

2 U

nles

s an

y VAT

exem

ptio

n ap

plie

s, a

ll am

ount

s pa

yabl

e to

the

Ins

titut

ion

unde

r th

is

Agr

eem

ent

are

excl

usiv

e of

VAT

whi

ch t

he C

ompa

ny w

ill p

ay a

t th

e ra

te f

rom

tim

e to

tim

e pr

escr

ibed

by

law

. 3.

3 If

th

e Com

pany

fa

ils

to

mak

e an

y pa

ymen

t du

e to

th

e In

stitu

tion

un

der

this

Agr

eem

ent,

w

ithou

t pr

ejud

ice

to

any

othe

r righ

t or

re

med

y av

aila

ble

to

the

Inst

itutio

n,

the

Inst

itutio

n m

ay

char

ge

inte

rest

(b

oth

befo

re

and

afte

r an

y ju

dgem

ent)

on

the

amou

nt o

utst

andi

ng,

on a

dai

ly b

asis

[at

the

rat

e of

[fo

ur]

per

cent

per

ann

um a

bove

the

Lon

don

3 m

onth

Int

erba

nk O

ffer

Rat

e fr

om t

ime

to t

ime

in

forc

e] O

R [

in a

ccor

danc

e w

ith t

he L

ate

Paym

ents

of

Com

mer

cial

Deb

ts (

Inte

rest

) Act

19

98 a

s am

ende

d by

the

Lat

e Pa

ymen

t of

Com

mer

cial

Deb

ts R

egul

atio

ns 2

013]

.

That

int

eres

t w

ill b

e ca

lcul

ated

fro

m t

he d

ate

or l

ast

date

for

pay

men

t to

the

act

ual

date

of

pa

ymen

t,

both

da

tes

incl

usiv

e, an

d w

ill

be co

mpo

unde

d qu

arte

rly.

Th

e Com

pany

will

pay

tha

t in

tere

st t

o th

e In

stitu

tion

on d

eman

d.

3.4

[Exc

ept

as s

et o

ut i

n Sch

edul

e 2

[or

the

Prop

osal

,] t

he I

nstit

utio

n w

ill o

wn

all

equi

pmen

t pu

rcha

sed

or c

onst

ruct

ed b

y it,

or

for

it, u

sing

the

Fin

anci

al C

ontr

ibut

ion

or a

ny E

xter

nal F

undi

ng.

4.

US

E A

ND

EX

PLO

ITA

TIO

N O

F IN

TELL

ECTU

AL

PR

OP

ERTY

RIG

HTS

4.

1 Th

is A

gree

men

t do

es n

ot a

ffec

t th

e ow

ners

hip

of a

ny I

ntel

lect

ual

Prop

erty

Rig

hts

in

any

Bac

kgro

und

or in

any

othe

r te

chno

logy

, de

sign

, w

ork,

inv

entio

n, s

oftw

are,

dat

a,

tech

niqu

e, K

now

-how

, or

mat

eria

ls w

hich

are

not

Res

ults

. Th

e In

telle

ctua

l Pr

oper

ty

Rig

hts

in t

hem

will

rem

ain

the

prop

erty

of

the

Part

y w

hich

con

trib

uted

the

m t

o th

e Pr

ojec

t (o

r its

lice

nsor

s).

No

licen

ce t

o us

e an

y In

telle

ctua

l Pro

pert

y Rig

hts

is g

rant

ed

or im

plie

d by

thi

s Agr

eem

ent

exce

pt t

he r

ight

s ex

pres

sly

set

out

in t

his

Agr

eem

ent.

4.

2 Ea

ch P

arty

gra

nts

the

othe

r a

roya

lty-f

ree,

ful

ly p

aid-

up,

non-

excl

usiv

e lic

ence

to

use

its B

ackg

roun

d fo

r th

e pu

rpos

e of

car

ryin

g ou

t th

e Pr

ojec

t. N

eith

er P

arty

may

gra

nt

any

sub-

licen

ce t

o us

e th

e ot

her's

Bac

kgro

und

exce

pt t

hat

the

Com

pany

may

allo

w

any

Gro

up C

ompa

ny a

nd a

ny p

erso

n w

orki

ng f

or o

r on

beh

alf

of t

he C

ompa

ny o

r an

y

Gro

up C

ompa

ny t

o us

e th

e In

stitu

tion'

s Bac

kgro

und

for

the

purp

ose

of c

arry

ing

out

the

Proj

ect.

4.

3 Th

e Com

pany

will

ow

n th

e In

telle

ctua

l Pro

pert

y Rig

hts

in R

esul

ts a

nd m

ay t

ake

such

st

eps

as i

t m

ay d

ecid

e fr

om t

ime

to t

ime,

and

at

its o

wn

expe

nse,

to

regi

ster

and

m

aint

ain

any

prot

ectio

n fo

r th

e In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

and

tak

ing

any

actio

n in

res

pect

of

any

alle

ged

or a

ctua

l inf

ring

emen

t of

any

Int

elle

ctua

l Pro

pert

y Rig

hts

in

the

Res

ults

.

4.4

The

Inst

itutio

n w

ill e

nsur

e th

at t

he A

ssoc

iate

and

its

em

ploy

ees

and

othe

r st

uden

ts

(if

any)

inv

olve

d in

the

cre

atio

n of

the

Res

ults

giv

e th

e Com

pany

suc

h as

sist

ance

(e

xcep

t fin

anci

al a

ssis

tanc

e) a

s th

e Com

pany

may

rea

sona

bly

requ

est

in c

onne

ctio

n w

ith t

he r

egis

trat

ion

and

prot

ectio

n of

the

Int

elle

ctua

l Pr

oper

ty R

ight

s in

any

of

the

Res

ults

, in

clud

ing

filin

g an

d pr

osec

utin

g pa

tent

app

licat

ions

for

any

of

the

Res

ults

, an

d ta

king

an

y ac

tion

in

resp

ect

of

any

alle

ged

or ac

tual

in

frin

gem

ent

of

any

Inte

llect

ual P

rope

rty

Rig

hts

in a

ny o

f th

e Res

ults

. 4.

5 Th

e In

stitu

tion

will

ens

ure

that

the

Ass

ocia

te a

ssig

ns (

incl

udin

g m

akin

g a

pros

pect

ive

assi

gnm

ent

whe

re a

ppro

pria

te)

all righ

ts w

hich

he

or s

he m

ay h

ave

in t

he R

esul

ts in

orde

r to

be

able

to

give

effec

t to

the

pro

visi

ons

of t

his

clau

se 4

. W

here

any

oth

er

third

part

y su

ch a

s a

stud

ent

or c

ontr

acto

r is

inv

olve

d in

the

Pro

ject

, th

e Pa

rty

enga

ging

th

at

third

part

y w

ill

ensu

re

that

th

at

third

part

y ha

s as

sign

ed

to

it (i

nclu

ding

mak

ing

a pr

ospe

ctiv

e as

sign

men

t w

here

app

ropr

iate

) al

l righ

ts w

hich

tha

t th

ird

Part

y m

ay ha

ve in

th

e Res

ults

in

or

der

to be

ab

le to

gi

ve ef

fect

to

th

e pr

ovis

ions

of

this

cla

use

4.

4.6

To th

e ex

tent

tha

t an

y In

telle

ctua

l Pr

oper

ty Rig

hts

in th

e Res

ults

is

ca

pabl

e of

pr

ospe

ctiv

e as

sign

men

t,

the

Inst

itution

no

w

assi

gns

thos

e In

telle

ctua

l Pr

oper

ty

Rig

hts

to t

he C

ompa

ny;

and

to t

he e

xten

t an

y In

telle

ctua

l Pr

oper

ty R

ight

s in

the

Res

ults

can

not

be a

ssig

ned

pros

pect

ivel

y, t

he I

nstit

utio

n w

ill a

ssig

n th

ose

Inte

llect

ual

Prop

erty

Rig

hts

to t

he C

ompa

ny a

s an

d w

hen

they

are

cre

ated

, at

the

req

uest

of

the

Com

pany

.

4.

7 [T

he C

ompa

ny w

ill p

rovi

de t

he I

nstit

utio

n w

ith s

uch

info

rmat

ion

as t

he I

nstit

utio

n m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime

to d

emon

stra

te t

hat

the

Com

pany

is

expl

oiting

or

is

ta

king

re

ason

able

st

eps

tow

ards

ex

ploi

ting

th

e Res

ults

. If

th

e Com

pany

doe

s no

t de

mon

stra

te t

hat

it is

exp

loiti

ng a

ny o

f th

e Res

ults

or

is t

akin

g re

ason

able

ste

ps t

owar

ds e

xplo

iting

the

m,

the

Com

pany

will

, if

requ

este

d to

do

so b

y th

e In

stitu

tion

, re

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in th

ose

Res

ults

to

the

In

stitu

tion.

The

Com

pany

will

not

ify t

he I

nstit

utio

n if

the

Com

pany

dec

ides

not

to

proc

eed

with

the

exp

loitat

ion

of a

ny o

f th

e Res

ults

and

will

, if

requ

este

d to

do

so b

y th

e In

stitu

tion

, re

assi

gn t

he I

ntel

lect

ual

Prop

erty

Rig

hts

in th

ose

Res

ults

to

the

In

stitu

tion.

] 4.

8 Th

e Com

pany

gra

nts

the

Inst

itutio

n a

roya

lty-f

ree,

non

-exc

lusi

ve l

icen

ce t

o us

e th

e Res

ults

for

the

pur

pose

of

carr

ying

out

the

Pro

ject

[an

d fo

r Clin

ical

Pat

ient

Car

e],

but

(exc

ept

as p

erm

itted

by

clau

se 4

.9)

the

Inst

itutio

n m

ay n

ot g

rant

any

sub

-lic

ence

to

use

the

Res

ults

. 4.

9 D

espi

te t

he p

rovi

sion

s of

cla

use

4.6,

the

Ins

titut

ion

and

each

em

ploy

ee a

nd s

tude

nt

of t

he I

nstit

utio

n w

ill ha

ve t

he i

rrev

ocab

le,

roya

lty-f

ree

righ

t to

use

any

of

the

Res

ults

[(e

xcep

t th

e fo

llow

ing

type

s of

Res

ult:

[in

sert

det

ails

]) f

or A

cade

mic

and

302

Res

earc

h Pu

rpos

es[,

inc

ludi

ng]

OR

[ex

clud

ing]

res

earc

h pr

ojec

ts w

hich

are

car

ried

ou

t by

the

Ins

titut

ion

with

any

thi

rd p

arty

[in

the

com

mer

cial

sec

tor]

[an

d Clin

ical

Pa

tient

Car

e]].

5.

A

CA

DE

MIC

PU

BLI

CA

TIO

N A

ND

IM

PA

CT

5.1

The

Proj

ect

is u

nder

take

n by

the

Ins

titut

ion

in p

ursu

ance

of

a pr

imar

y ch

arita

ble

purp

ose

of t

he I

nstit

utio

n; t

hat

is t

he a

dvan

cem

ent

of e

duca

tion

thro

ugh

teac

hing

an

d re

sear

ch.

Ther

efor

e, n

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t, a

ny

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n (w

heth

er o

r no

t in

volv

ed in

the

Proj

ect)

may

, pr

ovid

ed t

he I

nstit

utio

n ha

s no

t re

ceiv

ed a

Con

fiden

tialit

y N

otic

e un

der

clau

se 5

.2:

5.

1.1

disc

uss

wor

k un

dert

aken

as

pa

rt

of

the

Proj

ect

in

Inst

itutio

n se

min

ars,

tu

torial

s an

d le

ctur

es;

and

5.

1.2

Publ

ish

any

Bac

kgro

und

of t

he C

ompa

ny o

r an

y of

the

Res

ults

. 5.

2 Sub

ject

to

clau

se 5

.3,

the

Inst

itutio

n w

ill s

ubm

it to

the

Com

pany

, in

writing

, de

tails

of

any

of

the

Res

ults

and

any

of

the

Com

pany

’s B

ackg

roun

d w

hich

is

Con

fiden

tial

In

form

atio

n w

hich

the

Ass

ocia

te o

r an

y ot

her

empl

oyee

or

stud

ent

of t

he I

nstit

utio

n in

tend

s to

Pub

lish,

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

date

of

the

prop

osed

su

bmis

sion

for

Pub

licat

ion.

Th

e Com

pany

may

, by

gi

ving

writt

en no

tice

to th

e In

stitu

tion

(a C

on

fid

enti

alit

y N

oti

ce):

5.2.

1 re

quire

the

Inst

itutio

n to

del

ay t

he p

ropo

sed

Publ

icat

ion

for

a m

axim

um o

f [i

nser

t pe

riod

] m

onth

(s)

afte

r re

ceip

t of

the

Con

fiden

tialit

y N

otic

e if,

in

the

Com

pany

’s r

easo

nabl

e op

inio

n, t

hat

dela

y is

nec

essa

ry in

ord

er t

o se

ek p

aten

t or

sim

ilar

prot

ectio

n fo

r an

y of

the

Res

ults

or

the

Com

pany

’s B

ackg

roun

d w

hich

is C

onfid

entia

l Inf

orm

atio

n; o

r

5.2.

2 pr

even

t th

e Pu

blic

atio

n of

an

y of

th

e Res

ults

or

an

y of

th

e Com

pany

’s

Bac

kgro

und

whi

ch is

Con

fiden

tial I

nfor

mat

ion

and

whi

ch,

in e

ach

case

, ca

nnot

be

pro

tect

ed b

y pa

tent

or

sim

ilar

prot

ectio

n [o

r w

hich

can

be

prot

ecte

d by

pa

tent

or

sim

ilar

prot

ectio

n bu

t w

hich

the

Com

pany

has

cho

sen

not

to p

rote

ct

in t

hat

way

].

The

Com

pany

mus

t gi

ve t

hat

Con

fiden

tial

ity N

otic

e w

ithin

[15

] O

R [

30]

days

aft

er

the

Com

pany

rec

eive

s de

tails

of

the

prop

osed

Pub

licat

ion.

If

the

Inst

itutio

n do

es n

ot

rece

ive

a Con

fiden

tialit

y N

otic

e w

ithin

tha

t pe

riod

, th

e pr

opos

ed P

ublic

atio

n m

ay

proc

eed,

[e

xcep

t in

re

latio

n to

th

e Col

labo

rato

r’s

Bac

kgro

und

whi

ch

is

the

Col

labo

rato

r’s

Con

fiden

tial

Inf

orm

atio

n an

d w

hich

may

not

be

Publ

ishe

d un

less

the

Col

labo

rato

r ha

s gi

ven

its w

ritt

en c

onse

nt t

o th

at P

ublic

atio

n].

5.

3 N

othi

ng i

n th

is A

gree

men

t w

ill p

reve

nt t

he A

ssoc

iate

sub

mitt

ing

a th

esis

bas

ed o

n an

y of

the

Res

ults

or

any

of t

he C

ompa

ny’s

Bac

kgro

und

(or

both

) fo

r a

degr

ee o

f th

e In

stitu

tion,

or

th

e ex

amin

atio

n of

th

at

thes

is

by

exam

iner

s ap

poin

ted

by

the

Inst

itutio

n, o

r th

e de

posi

t of

tha

t th

esis

in

a lib

rary

of

the

Inst

itutio

n in

acc

orda

nce

with

th

e re

leva

nt pr

oced

ures

of

th

e In

stitu

tion.

H

owev

er,

if th

e ex

amin

atio

n or

de

posi

t of

the

the

sis

wou

ld d

iscl

ose

any

Res

ult

or a

ny o

f th

e Com

pany

’s B

ackg

roun

d w

hich

is

Con

fiden

tial

Inf

orm

atio

n, t

he I

nstit

utio

n w

ill n

otify

the

Com

pany

at

leas

t [3

0][6

0] O

R [

90]

days

bef

ore

the

thes

is i

s du

e to

be

subm

itted

, an

d th

e Com

pany

m

ay,

by g

ivin

g no

tice

to t

he I

nstit

utio

n (a

Th

esis

No

tice

) w

ithin

[15

] O

R [

30]

days

afte

r th

e Com

pany

re

ceiv

es th

e Th

esis

N

otic

e fr

om th

e In

stitu

tion,

re

quire

any

exte

rnal

ex

amin

ers

or

read

ers

of

the

depo

site

d th

esis

to

si

gn

conf

iden

tialit

y un

dert

akin

gs a

s a

cond

itio

n of

rec

eipt

of

the

thes

is. If

the

Ins

titut

ion

does

not

rec

eive

a

Thes

is N

otic

e w

ithin

tha

t pe

riod

, it

may

pro

ceed

with

exa

min

atio

n an

d de

posi

t of

th

e th

esis

. O

R

The

Inst

itutio

n w

ill

follo

w

the

Inst

itutio

n’s

regu

latio

ns

for

the

subm

issi

on

for

exam

inat

ion

of a

ny t

hesi

s w

hich

inc

lude

s in

form

atio

n ab

out

or d

eriv

ed f

rom

the

Pr

ojec

t. I

n an

y ev

ent

the

Inst

itutio

n w

ill p

rocu

re t

hat

the

Ass

ocia

te w

ill s

ubm

it a

draf

t of

any

suc

h th

esis

to

the

Lead

Aca

dem

ic a

nd t

he C

ompa

ny’s

Sup

ervi

sor

at l

east

[3

0][6

0] O

R [

90]

days

bef

ore

the

date

for

sub

mis

sion

for

exa

min

atio

n. T

he A

ssoc

iate

m

ay n

ot,

with

out

the

Com

pany

’s w

ritt

en c

onse

nt,

incl

ude

any

Res

ult

or a

ny o

f th

e Com

pany

’s B

ackg

roun

d w

hich

is C

onfid

entia

l Inf

orm

atio

n in

any

the

sis.

]

5.4

The

Com

pany

ac

know

ledg

es

that

th

e In

stitu

tion

is

requ

ired

by

its

fu

nder

s to

de

mon

stra

te

the

Inst

itutio

n’s

impa

ct

on

soci

ety

and

agre

es

to

prov

ide

to

the

Inst

itutio

n an

y in

form

atio

n w

hich

the

Ins

titut

ion

reas

onab

ly r

eque

sts

in o

rder

to

allo

w i

t to

dem

onst

rate

tha

t im

pact

pro

vide

d th

at,

unde

r or

pur

suan

t to

thi

s cl

ause

: th

e In

stitu

tion

will

no

t be

en

title

d to

re

ceiv

e or

di

sclo

se an

y of

the

Com

pany

’s

Con

fiden

tial

Info

rmat

ion

or an

y in

form

atio

n w

hich

id

entif

ies

or al

low

s an

y liv

ing

indi

vidu

al t

o be

ide

ntifi

ed a

nd t

he i

nfor

mat

ion

requ

este

d an

d di

sclo

sed

unde

r or

pu

rsua

nt t

o th

is c

laus

e w

ill b

e ge

nera

l in

natu

re.

6.

CO

NFI

DEN

TIA

LIT

Y

6.1

With

out

prej

udic

e to

any

obl

igat

ions

of

conf

iden

tialit

y in

the

Gra

nt O

ffer

Let

ter,

su

bjec

t to

cla

use

5, n

eith

er P

arty

will

[,

eith

er d

urin

g th

e Pr

ojec

t Pe

riod

or

for

[3][

5][7

] O

R [

10]

year

s af

ter

the

end

of t

he P

roje

ct P

erio

d,]

disc

lose

to

any

third

part

y, n

or u

se f

or a

ny p

urpo

se e

xcep

t as

exp

ress

ly p

erm

itted

by

this

Agr

eem

ent,

any

of

the

oth

er P

arty

's C

onfid

entia

l Inf

orm

atio

n.

6.2

Nei

ther

Par

ty (

the

Rec

ipie

nt)

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of t

he

othe

r Pa

rty’

s Con

fiden

tial

Inf

orm

atio

n co

nfid

entia

l or

not

to

disc

lose

it

to a

ny t

hird

pa

rty

to t

he e

xten

t th

at:

6.

2 .1

if it

is r

ecei

ved

from

the

oth

er P

arty

, it

is k

now

n to

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

(de

mon

stra

ble

by w

ritt

en r

ecor

ds)b

efor

e its

rec

eipt

fro

m t

he o

ther

Pa

rty,

and

not

alrea

dy s

ubje

ct t

o an

y ob

ligat

ion

of c

onfid

entia

lity

to t

he o

ther

Pa

rty;

6.

2.2

it is

or

beco

mes

pub

licly

kno

wn

with

out

any

brea

ch o

f th

is A

gree

men

t or

any

ot

her

unde

rtak

ing

to k

eep

it co

nfid

ential

;

6.2.

3 it

has

been

obt

aine

d by

the

Rec

ipie

nt o

r an

y G

roup

Com

pany

fro

m a

thi

rd

part

y in

circ

umst

ance

s w

here

the

Rec

ipie

nt h

as n

o re

ason

to

belie

ve t

hat

ther

e ha

s be

en a

bre

ach

of a

n ob

ligat

ion

of c

onfid

ential

ity o

wed

to

the

othe

r Pa

rty;

6.2.

4 ha

s be

en

deve

lope

d by

th

e Rec

ipie

nt

or

any

Gro

up

Com

pany

w

ithou

t re

fere

nce

to t

he o

ther

Par

ty’s

Con

fiden

tial

Inf

orm

atio

n;

6.2.

5 it

is d

iscl

osed

pur

suan

t to

the

req

uire

men

t of

any

law

or

regu

latio

n (p

rovi

ded,

in

the

cas

e of

a d

iscl

osur

e un

der

the

Free

dom

of

Info

rmat

ion

Act

200

0 or

the

303

Envi

ronm

enta

l In

form

atio

n Reg

ulat

ions

200

4, n

one

of t

he e

xcep

tions

to

that

Act

or

thos

e Reg

ulat

ions

(as

the

cas

e m

ay b

e) a

pplie

s to

the

inf

orm

atio

n di

sclo

sed)

or

purs

uant

to

the

orde

r of

any

Cou

rt o

f co

mpe

tent

jur

isdi

ctio

n or

th

e re

quirem

ent

of a

ny c

ompe

tent

reg

ulat

ory

auth

ority

, an

d th

at,

in e

ach

case

whe

re t

he l

aw p

erm

its,

the

Part

y re

quired

to

mak

e th

at d

iscl

osur

e ha

s in

form

ed t

he o

ther

Par

ty,

with

in a

rea

sona

ble

time

afte

r be

ing

requ

ired

to

mak

e th

e di

sclo

sure

, of

the

req

uire

men

t an

d th

e in

form

atio

n re

quired

to

be

disc

lose

d; o

r 6.

2.6

is a

ppro

ved

for

rele

ase

in w

riting

by

an a

utho

rise

d re

pres

enta

tive

of t

he o

ther

Pa

rty.

6.

3 Th

e In

stitu

tion

will

not

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of t

he C

ompa

ny’s

Bac

kgro

und

or a

ny R

esul

ts o

r an

y ot

her

info

rmat

ion,

con

fiden

tial

or

not

to d

iscl

ose

it to

any

thi

rd p

arty

, by

:

6.3.

1 [e

xcep

t in

rel

atio

n to

the

Com

pany

’s B

ackg

roun

d w

hich

is

the

Com

pany

’s

Con

fiden

tial

Inf

orm

atio

n,]

Publ

ishi

ng a

ny o

f th

e sa

me

if th

e In

stitu

tion

has

follo

wed

th

e pr

oced

ure

in cl

ause

5.

2 an

d ha

s re

ceiv

ed no

Con

fiden

tial

ity

Not

ice

with

in t

he p

erio

d st

ated

in t

hat

clau

se;

or

6.3.

2 m

akin

g th

em a

vaila

ble

to a

ny s

tude

nt o

f th

e In

stitu

tion

who

nee

ds t

o kn

ow it

in

ord

er t

o ex

erci

se t

he r

ight

s gr

ante

d in

thi

s Agr

eem

ent,

pro

vide

d th

ey a

re

not

used

exc

ept

as e

xpre

ssly

per

mitt

ed b

y th

is A

gree

men

t an

d th

e st

uden

t un

dert

akes

to

ke

ep

that

Bac

kgro

und,

th

ose

Res

ults

an

d th

at in

form

atio

n co

nfid

ential

.

6.6

The

Com

pany

will

not

be

in b

reac

h of

any

obl

igat

ion

to k

eep

any

of t

he I

nstit

utio

n's

Con

fiden

tial

Inf

orm

atio

n co

nfid

entia

l or

no

t to

dis

clos

e it

to a

ny t

hird

par

ty,

by

mak

ing

it av

aila

ble

to a

ny G

roup

Com

pany

, or

any

per

son

wor

king

for

or

on b

ehal

f of

th

e Com

pany

or

a G

roup

Com

pany

, w

ho n

eeds

to

know

the

sam

e in

ord

er t

o ex

erci

se

the

righ

ts g

rant

ed i

n th

is A

gree

men

t, p

rovi

ded

it is

not

use

d ex

cept

as

expr

essl

y pe

rmitt

ed b

y th

is A

gree

men

t an

d th

e G

roup

Com

pany

, or

any

per

son

wor

king

for

or

on

beha

lf of

th

e Com

pany

or

th

e G

roup

Com

pany

un

dert

akes

to

ke

ep

that

in

form

atio

n co

nfid

entia

l. 6.

5 N

eith

er P

arty

will

be

in b

reac

h of

any

obl

igat

ion

to k

eep

the

othe

r’s

Con

fiden

tial

In

form

atio

n, c

onfid

entia

l or

not

to d

iscl

ose

it to

any

thi

rd p

arty

by

disc

losi

ng it

to

the

Tech

nolo

gy S

trat

egy

Boa

rd in

acc

orda

nce

with

the

Gra

nt O

ffer

Let

ter.

6.

6 If

the

Ins

titut

ion

rece

ives

a r

eque

st u

nder

the

Fre

edom

of

Info

rmat

ion

Act

200

0 or

th

e En

viro

nmen

tal

Info

rmat

ion

Reg

ulat

ions

200

4 to

dis

clos

e an

y in

form

atio

n w

hich

, un

der

this

Agr

eem

ent,

is

the

Com

pany

’s C

onfid

entia

l In

form

atio

n, i

t w

ill n

otify

the

Com

pany

an

d w

ill

cons

ult

with

th

e Com

pany

pr

ompt

ly

and

befo

re

mak

ing

any

disc

losu

re u

nder

tha

t Act

or

thos

e Reg

ulat

ions

, th

e In

stitu

tion

will

, w

here

app

ropr

iate

, ta

ke l

egal

adv

ice

rega

rdin

g th

e av

aila

bilit

y an

d ap

plic

abili

ty o

f an

y ex

empt

ions

and

an

y ot

her

optio

ns a

vaila

ble,

and

will

not

ify t

he C

ompa

ny o

f th

e in

tend

ed r

espo

nse

to

that

re

ques

t. T

he C

ompa

ny w

ill re

spon

d to

the

Ins

titut

ion

with

in 1

0 da

ys af

ter

rece

ivin

g th

e In

stitu

tion

’s n

otic

e if

that

not

ice

requ

ests

the

Com

pany

to

prov

ide

info

rmat

ion

to a

ssis

t th

e In

stitu

tion

to d

eter

min

e w

heth

er o

r no

t an

exe

mpt

ion

to t

he

Free

dom

of In

form

atio

n Act

200

0 or

the

Env

iron

men

tal I

nfor

mat

ion

Reg

ulat

ions

200

4 ap

plie

s to

th

e in

form

atio

n re

ques

ted

unde

r th

at

Act

or

th

ose

Reg

ulat

ions

. Th

e Com

pany

may

mak

e re

pres

enta

tions

in

rela

tion

to t

hat

requ

est

and

the

prop

osed

resp

onse

an

d m

ay

requ

est

amen

dmen

ts

to

the

prop

osed

re

spon

se.

[At

the

Com

pany

’s r

eque

st,

exce

pt in

ord

er t

o co

mpl

y w

ith a

ny c

ourt

ord

er o

r an

y de

cisi

on o

f th

e In

form

atio

n Com

mis

sion

er o

r th

e In

form

atio

n Tr

ibun

al,

the

Inst

itutio

n w

ill n

ot

disc

lose

any

info

rmat

ion

whi

ch,

unde

r th

is A

gree

men

t, is

the

Com

pany

’s C

onfid

entia

l In

form

atio

n in

res

pons

e to

a r

eque

st u

nder

the

Fre

edom

of

Info

rmat

ion

Act

200

0 or

th

e En

viro

nmen

tal I

nfor

mat

ion

Reg

ulat

ions

200

4 pr

ovid

ed t

hat:

6.

6.1

the

Col

labo

rato

r m

akes

tha

t re

ques

t in

writin

g w

ithin

10

days

aft

er r

ecei

ving

th

e In

stitu

tion’

s no

tice

give

n un

der

this

cla

use

6.6;

and

6.6.

2 th

e Col

labo

rato

r in

dem

nifie

s th

e In

stitu

tion

and

its e

mpl

oyee

s an

d st

uden

ts

(th

e In

dem

nif

ied

Par

ties

), a

nd k

eeps

the

m f

ully

and

eff

ectiv

ely

inde

mni

fied,

ag

ains

t ea

ch a

nd e

very

cla

im m

ade

agai

nst

any

of t

he I

ndem

nifie

d Pa

rtie

s as

a

resu

lt of

the

Ins

titut

ion

not

mak

ing

any

disc

losu

re o

f th

e Col

labo

rato

r’s

Con

fiden

tial

in

form

atio

n in

re

spon

se

to

a re

ques

t un

der

the

Free

dom

of

In

form

atio

n Act

200

0 or

the

Env

iron

men

tal I

nfor

mat

ion

Reg

ulat

ions

200

4.]

6.

7 N

eith

er Pa

rty

will

us

e th

e ot

her

Part

y’s

nam

e or

th

e na

me

of an

y of

th

e Key

Pe

rson

nel pr

ovid

ed b

y th

e ot

her

Part

y or

the

oth

er P

arty

’s log

o in

any

pre

ss r

elea

se

or p

rodu

ct a

dver

tisin

g, o

r fo

r an

y ot

her

prom

otio

nal pu

rpos

e, w

ithou

t fir

st o

btai

ning

th

e ot

her

Part

y's

writt

en c

onse

nt

6.

8 [N

otw

ithst

andi

ng a

ny o

ther

pro

visi

on o

f th

is A

gree

men

t, t

he I

nstit

utio

n m

ay ide

ntify

th

e su

ms

rece

ived

fro

m t

he C

ompa

ny i

n th

e In

stitu

tion’

s Ann

ual

Rep

ort

and

sim

ilar

publ

icat

ions

][,

and

the

Com

pany

may

, in

ord

er t

o co

mpl

y w

ith a

ny t

rans

pare

ncy

repo

rtin

g ob

ligat

ions

to

whi

ch it

is s

ubje

ct,

publ

ish

deta

ils o

f an

y tr

ansf

ers

of v

alue

].]

7.

LI

MIT

ATI

ON

OF

LIA

BIL

ITY

7.

1 Ea

ch o

f th

e Pa

rtie

s w

arra

nts

to t

he o

ther

tha

t, t

o th

e be

st o

f its

kno

wle

dge

and

belie

f (h

avin

g m

ade

reas

onab

le e

nqui

ry o

f th

ose

of it

s em

ploy

ees

invo

lved

in t

he P

roje

ct o

r lik

ely

to h

ave

rele

vant

kno

wle

dge[

, an

d in

the

cas

e of

the

Ins

titut

ion

any

stud

ent

invo

lved

in t

he P

roje

ct],

but

not

hav

ing

mad

e an

y se

arch

of

any

publ

ic r

egis

ter)

an

y ad

vice

or

info

rmat

ion

give

n by

it

or a

ny o

f its

em

ploy

ees

[or

stud

ents

] w

ho w

ork

on

the

Proj

ect,

or

the

cont

ent

or u

se o

f an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

info

rmat

ion

prov

ided

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in

any

infr

inge

men

t of

thi

rd p

arty

rig

hts.

O

R

7.

1 N

eith

er o

f th

e Pa

rtie

s [e

xcep

t un

der

clau

se 7

.10]

mak

es a

ny r

epre

sent

atio

n or

giv

es

any

war

rant

y to

the

oth

er t

hat

any

advi

ce o

r in

form

atio

n gi

ven

by i

t or

any

of

its

empl

oyee

s or

stu

dent

s w

ho w

ork

or h

ave

wor

ked

on t

he P

roje

ct,

or t

he c

onte

nt o

r us

e of

an

y Res

ults

, Bac

kgro

und

or m

ater

ials

, w

orks

or

in

form

atio

n pr

ovid

ed

in

conn

ectio

n w

ith t

he P

roje

ct,

will

not

con

stitu

te o

r re

sult

in a

ny i

nfring

emen

t of

thi

rd

part

y righ

ts.

7.2

Exce

pt u

nder

the

war

rant

[y][

ies]

in

clau

se[s

] [7

.1[a

nd]

7.10

and

the

ind

emni

ties

in

clau

ses

[6.6

, ]7

.3 a

nd 7

.4,

and

subj

ect

to c

laus

e 7.

8, n

eith

er P

arty

acc

epts

any

lia

bilit

y or

res

pons

ibili

ty f

or a

ny u

se w

hich

may

be

mad

e by

the

oth

er P

arty

of

any

of

the

Res

ults

, no

r fo

r an

y re

lianc

e w

hich

may

be

plac

ed b

y th

at o

ther

Par

ty o

n an

y of

th

e Res

ults

, no

r fo

r ad

vice

or

info

rmat

ion

give

n in

con

nect

ion

with

any

of

the

Res

ults

.

304

7.3

Sub

ject

to

cl

ause

7.

7.1,

th

e Com

pany

w

ill

inde

mni

fy

the

Inst

itution

, th

e Le

ad

Aca

dem

ic,

the

Ass

ocia

te a

nd e

very

oth

er e

mpl

oyee

and

stu

dent

of

the

Inst

itutio

n (t

he

Ind

emn

ifie

d

Par

ties

),

and

keep

th

em

fully

an

d ef

fect

ivel

y in

dem

nifie

d,

agai

nst

each

and

eve

ry c

laim

mad

e ag

ains

t an

y of

the

Ind

emni

fied

Part

ies

as a

res

ult

of t

he C

ompa

ny’s

use

of

any

of t

he R

esul

ts o

r an

y m

ater

ials

, w

orks

or

info

rmat

ion

rece

ived

fro

m t

hem

pur

suan

t to

the

ter

ms

of t

his

Agr

eem

ent,

pro

vide

d th

at t

he

Inde

mni

fied

Part

y m

ust:

7.3.

1 pr

ompt

ly n

otify

the

Com

pany

of

deta

ils o

f th

e cl

aim

; 7.

3.2

not

mak

e an

y ad

mis

sion

in r

elat

ion

to t

he c

laim

; 7.

3.3

allo

w t

he C

ompa

ny t

o ha

ve t

he c

ondu

ct o

f th

e de

fenc

e an

d se

ttle

men

t of

the

cl

aim

; an

d 7.

3.4

give

the

Com

pany

all

reas

onab

le a

ssis

tanc

e (a

t th

e Com

pany

’s e

xpen

se)

in

deal

ing

with

the

cla

im.

Th

e in

dem

nity

in t

his

clau

se 7

.3 w

ill n

ot a

pply

to

the

exte

nt t

hat

the

clai

m a

rise

s as

a

resu

lt of

the

Ind

emni

fied

Part

y's

negl

igen

ce,

its b

reac

h of

cla

use

6, t

he d

elib

erat

e br

each

of

this

Agr

eem

ent

or it

s kn

owin

g in

frin

gem

ent

of a

ny t

hird

par

ty’s

Int

elle

ctua

l Pr

oper

ty R

ight

s or

its

know

ing

brea

ch o

f an

y th

ird

part

y’s

righ

ts o

f co

nfid

ence

. 7.

4 Sub

ject

to

clau

se 7

.7.3

, ea

ch P

arty

will

ind

emni

fy t

he o

ther

and

kee

p it

fully

and

ef

fect

ivel

y in

dem

nifie

d on

dem

and

agai

nst

all co

sts,

cla

ims,

dem

ands

, ex

pens

es a

nd

liabi

litie

s of

any

nat

ure

aris

ing

out

of o

r in

con

nect

ion

with

any

bre

ach

by i

t of

Sch

edul

e 6.

7.

5.

Sub

ject

to

cl

ause

s 7.

7 an

d 7.

8,

and

exce

pt

unde

r th

e in

dem

nitie

s in

cl

ause

s [6

.6,

]7.3

and

7.4

, th

e lia

bilit

y of

eith

er P

arty

to

the

othe

r fo

r an

y br

each

of

this

Agr

eem

ent,

any

neg

ligen

ce o

r ar

isin

g in

any

oth

er w

ay o

ut o

f th

e su

bjec

t m

atte

r of

th

is A

gree

men

t, t

he P

roje

ct a

nd t

he R

esul

ts,

will

not

ext

end

to:

7.5.

1 an

y in

dire

ct d

amag

es o

r lo

sses

; or

7.

5.2

any

loss

of

pr

ofits

, lo

ss

of

reve

nue,

lo

ss

of

data

, lo

ss

of

cont

ract

s or

op

port

unity

, w

heth

er d

irec

t or

indi

rect

,

Even

, in

eac

h ca

se,

if th

e Pa

rty

brin

ging

the

cla

im h

as a

dvis

ed t

he o

ther

of

the

poss

ibili

ty o

f th

ose

loss

es,

or if

the

y w

ere

with

in t

he o

ther

Par

ty's

con

tem

plat

ion.

7.

6 Sub

ject

to

clau

ses

7.7

and

7.8,

the

agg

rega

te lia

bilit

y of

eac

h Pa

rty

to t

he o

ther

for

al

l an

d an

y br

each

es o

f th

is A

gree

men

t, a

ny n

eglig

ence

or

aris

ing

in a

ny o

ther

way

ou

t of

the

sub

ject

mat

ter

of t

his

Agr

eem

ent,

the

Pro

ject

and

the

Res

ults

, w

ill n

ot

exce

ed

in

tota

l [t

he

Fina

ncia

l Con

trib

utio

n][t

he

port

ion

of th

e Ex

tern

al

Fund

ing

allo

cate

d to

tha

t Pa

rty]

OR

[£i

nser

t fig

ure]

. 7.

7 Sub

ject

in e

ach

case

to

clau

se 7

.8,

the

aggr

egat

e lia

bilit

y of

eac

h Pa

rty

to t

he o

ther

:

7.7.

1 un

der

the

inde

mni

ty in

cla

use

7.3

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

;

7.7.

2 un

der

the

inde

mni

ty in

cla

use

7.4

will

not

exc

eed

in t

otal

£[i

nser

t fig

ure]

; an

d

7.7.

3 fo

r al

l and

any

bre

ache

s of

the

Gra

nt O

ffer

Let

ter

will

not

exc

eed

in t

otal

[th

e am

ount

of

the

Exte

rnal

Fun

ding

.

7.

8 N

othi

ng in

thi

s Agr

eem

ent

limits

or

excl

udes

eith

er P

arty

's li

abili

ty for

:

7.8.

1 de

ath

or p

erso

nal i

njur

y ca

used

by

negl

igen

ce;

7.8.

2 an

y fr

aud

or f

or a

ny s

ort

of l

iabi

lity

whi

ch,

by l

aw,

cann

ot b

e lim

ited

or

excl

uded

; or

7.

8.4

any

loss

or

dam

age

caus

ed b

y a

delib

erat

e br

each

of

this

Agr

eem

ent.

7.9

The

expr

ess

unde

rtak

ings

and

war

rant

ies

give

n by

the

Par

ties

in t

his

Agr

eem

ent

are

in

lieu

of

all

othe

r w

arra

ntie

s,

cond

ition

s,

term

s,

unde

rtak

ings

an

d ob

ligat

ions

, w

heth

er e

xpre

ss o

r im

plie

d by

sta

tute

, co

mm

on law

, cu

stom

, tr

ade

usag

e, c

ours

e of

de

alin

g or

in

any

othe

r w

ay.

All

of t

hese

are

exc

lude

d to

the

ful

lest

ext

ent

perm

itted

by

law

. 7.

10

[Any

ass

ignm

ent

mad

e un

der

or p

ursu

ant

to t

his

Agr

eem

ent

is m

ade

or w

ill b

e m

ade

with

ful

l tit

le g

uara

ntee

.] O

R I

n re

spec

t of

any

ass

ignm

ent

of I

ntel

lect

ual

Prop

erty

Rig

hts

mad

e un

der

or p

ursu

ant

to t

his

Agr

eem

ent,

the

ass

igno

r w

arra

nts

to t

he

assi

gnee

tha

t:

7.

10.1

the

ass

igno

r ha

s th

e righ

t to

dis

pose

of

the

Inte

llect

ual P

rope

rty

assi

gned

and

th

at it

will

, at

its

own

cost

, do

all

that

it r

easo

nabl

y ca

n to

giv

e th

e tit

le t

hat

it pu

rpor

ts t

o gi

ve;

and

7.

10.2

the

In

telle

ctua

l Pr

oper

ty

Rig

hts

assi

gned

ar

e fr

ee

from

al

l ch

arge

s an

d en

cum

bran

ces

and

right

s of

an

y th

ird

part

y (e

xcep

t th

ose

of

whi

ch

the

assi

gnor

is u

naw

are

or o

f w

hich

it c

ould

not

rea

sona

bly

be a

war

e.]

7.11

In

acc

orda

nce

with

par

agra

ph [

inse

rt n

umbe

r] o

f th

e G

rant

Off

er L

ette

r, t

he P

artie

s ac

know

ledg

e th

at t

he T

echn

olog

y Str

ateg

y Boa

rd d

oes

not

give

any

war

rant

y or

gu

aran

tee

in c

onne

ctio

n w

ith t

he R

esul

ts a

nd w

ill n

ot h

ave

any

liabi

lity

for

any

loss

or

dam

age

of a

ny k

ind,

whe

ther

arisi

ng o

ut o

f ne

glig

ence

or

othe

rwis

e, w

hich

is

suff

ered

by

any

pers

on a

s a

resu

lt of

pro

visi

on o

f th

e Res

ults

.

8.

FOR

CE

MA

JEU

RE

If

the

per

form

ance

by

a Pa

rty

of a

ny o

f its

obl

igat

ions

und

er t

his

Agr

eem

ent

(exc

ept

a pa

ymen

t ob

ligat

ion)

is

de

laye

d or

pr

even

ted

by

circ

umst

ance

s be

yond

its

re

ason

able

con

trol

, th

at P

arty

will

not

be

in b

reac

h of

thi

s Agr

eem

ent

beca

use

of t

hat

dela

y in

per

form

ance

. H

owev

er,

if th

e de

lay

in p

erfo

rman

ce las

ts f

or m

ore

than

[3]

O

R [

6] m

onth

s, t

he o

ther

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t w

ith im

med

iate

effec

t by

giv

ing

writt

en n

otic

e to

the

Par

ty w

hose

per

form

ance

is d

elay

ed o

r pr

even

ted.

9.

TE

RM

INA

TIO

N

9.1

Eith

er P

arty

may

ter

min

ate

this

Agr

eem

ent

with

imm

edia

te e

ffec

t by

giv

ing

notic

e to

th

e ot

her

Part

y if

the

othe

r Pa

rty:

305

9.1.

1 is

in b

reac

h of

any

pro

visi

on o

f th

is A

gree

men

t an

d (i

f it

is c

apab

le o

f re

med

y)

the

brea

ch h

as n

ot b

een

rem

edie

d w

ithin

[30

][60

] O

R [

90]

days

aft

er r

ecei

pt

of w

ritt

en n

otic

e sp

ecify

ing

the

brea

ch a

nd r

equi

ring

its

rem

edy;

9.1.

2 be

com

es i

nsol

vent

, or

if

an o

rder

is

mad

e or

a r

esol

utio

n is

pas

sed

for

its

win

ding

up

(exc

ept

volu

ntar

ily f

or t

he p

urpo

se o

f so

lven

t am

alga

mat

ion

or

reco

nstr

uctio

n),

or i

f an

adm

inis

trat

or,

adm

inis

trat

ive

rece

iver

or

rece

iver

is

appo

inte

d ov

er t

he w

hole

or

any

part

of

the

othe

r Pa

rty'

s as

sets

, or

if

the

othe

r Pa

rty

mak

es a

ny a

rran

gem

ent

with

its

cred

itors

; or

9.

1.3

com

mits

any

bre

ach

of S

ched

ule

5 [o

r Sc

hedu

le 7

].

9.2

Each

of

the

Part

ies

will

not

ify t

he o

ther

pro

mpt

ly i

f at

any

tim

e an

y of

the

Key

Pe

rson

nel a

ppoi

nted

by

that

Par

ty is

una

ble

or u

nwill

ing

to c

ontin

ue t

o be

invo

lved

in

the

Proj

ect.

W

ithin

[3]

OR

[6]

mon

ths

afte

r th

e da

te o

f th

at n

otic

e, t

he P

arty

who

or

igin

ally

app

oint

ed t

hat

mem

ber

of t

he K

ey P

erso

nnel

will

nom

inat

e a

succ

esso

r.

The

othe

r Pa

rty

will

not

unr

easo

nabl

y re

fuse

to

acce

pt t

he n

omin

ated

suc

cess

or,

but

if th

e su

cces

sor

is n

ot a

ccep

tabl

e to

the

oth

er P

arty

on

reas

onab

le g

roun

ds o

r if

the

appo

into

r ca

nnot

fin

d a

succ

esso

r, e

ither

Par

ty m

ay t

erm

inat

e th

is A

gree

men

t by

gi

ving

the

oth

er n

ot le

ss t

han

[3]

mon

ths'

not

ice.

9.

9 [T

he C

ompa

ny m

ay t

erm

inat

e th

is A

gree

men

t at

any

tim

e pr

ovid

ed t

he C

ompa

ny

com

plie

s w

ith c

laus

es 9

.5 a

nd 9

.6,

by g

ivin

g no

t le

ss t

han

[3]

mon

ths'

not

ice

to t

he

Inst

itutio

n.]

9.4

Cla

uses

1,

3, 4

, 5,

6,

7, 8

, 9.

4, 9

.5,

9.6,

9.7

and

10

will

sur

vive

the

com

plet

ion

of

the

Proj

ect

Perio

d or

the

ter

min

atio

n of

thi

s Agr

eem

ent

for

any

reas

on a

nd w

ill

cont

inue

in

full

forc

e an

d ef

fect

inde

finite

ly o

r, in

the

cas

e of

cla

use

6, in

acc

orda

nce

with

cla

use

6.1.

9.

5 O

n th

e te

rmin

atio

n of

thi

s Agr

eem

ent,

the

Com

pany

will

pay

the

Ins

titut

ion

for

all

wor

k do

ne

befo

re

term

inat

ion

[and

no

t co

vere

d by

th

e Ex

tern

al

Fund

ing]

. If

te

rmin

atio

n oc

curs

pur

suan

t to

cla

use

9.2

[or

9.3]

, th

e Com

pany

will

re-

imbu

rse

the

Inst

itutio

n fo

r al

l co

sts

and

expe

nses

whi

ch t

he I

nstit

utio

n ha

s in

curr

ed o

r ag

reed

to

incu

r an

d w

hich

the

Ins

titut

ion

is u

nabl

e to

can

cel.

9.

6 Fo

llow

ing

the

term

inat

ion

of t

his

Agr

eem

ent

[by

the

Inst

itutio

n] u

nder

cla

use

9.1

or

9.2,

[or

by

the

Col

labo

rato

r un

der

clau

se 9

.3],

if

the

Fina

ncia

l Con

trib

utio

n in

clud

es

the

cost

s of

em

ploy

ing

any

Inst

itutio

n st

aff

invo

lved

in t

he P

roje

ct,

the

Com

pany

will

co

ntin

ue t

o re

imbu

rse,

in

acco

rdan

ce w

ith c

laus

e 3,

the

act

ual

dire

ct e

mpl

oym

ent

cost

s of

sta

ff w

ho w

ere

appo

inte

d by

the

Ins

titut

ion

to w

ork

on t

he P

roje

ct b

efor

e th

e se

rvic

e of

the

not

ice,

pro

vide

d th

at t

he I

nstit

utio

n ta

kes

all

reas

onab

le s

teps

to

min

imis

e th

ose

cost

s.

Rei

mbu

rsem

ent

will

co

ntin

ue

until

the

effe

ctiv

e da

te

of

term

inat

ion

of e

ach

staf

f co

ntra

ct o

r th

e da

te o

n w

hich

the

Pro

ject

was

to

have

end

ed

(whi

chev

er is

the

ear

lier)

. Th

ose

dire

ct e

mpl

oym

ent

cost

s w

ill in

clud

e a

prop

ortio

n of

an

y re

dund

ancy

cos

ts w

hich

hav

e be

en i

ncur

red

by t

he I

nstit

utio

n as

a d

irec

t re

sult

of t

he t

erm

inat

ion

of t

his

Agr

eem

ent,

tha

t pr

opor

tion

to b

e ca

lcul

ated

by

divi

ding

the

in

divi

dual

’s i

nvol

vem

ent

in t

he P

roje

ct b

y th

e du

ration

of

his

period

of

empl

oym

ent

by t

he I

nstit

utio

n.

9.7

If t

he C

ompa

ny h

as p

aid

any

of t

he F

inan

cial

Con

trib

utio

n in

adv

ance

and

the

who

le

of t

hat

cont

ribu

tion

has

not

, by

the

end

of

the

Proj

ect

Period

or

the

term

inat

ion

of

this

Agr

eem

ent,

be

en

used

by

th

e In

stitu

tion

fo

r th

e pu

rpos

es

for

whi

ch

that

Fina

ncia

l Con

trib

utio

n w

as p

rovi

ded,

the

Ins

titut

ion

will

ret

urn

to t

he C

ompa

ny t

he

unus

ed p

ortio

n of

tha

t co

ntribu

tion.

10.

GE

NE

RA

L 10

.1

No

tice

s: A

ny n

otic

e to

be

give

n un

der

this

Agr

eem

ent

mus

t be

in

wri

ting,

mus

t be

de

liver

ed t

o th

e ot

her

Part

y by

any

of

the

met

hods

set

out

in

the

left

han

d co

lum

n be

low

, an

d w

ill b

e de

emed

to

be r

ecei

ved

on t

he c

orre

spon

ding

day

set

out

in

the

righ

t ha

nd c

olum

n:

M

eth

od

of

serv

ice

Dee

med

day

of

rece

ipt

By

hand

or

cour

ier

th

e da

y of

del

iver

y

By

pre-

paid

first

cla

ss p

ost

th

e se

cond

Bus

ines

s D

ay a

fter

pos

ting

By

reco

rded

del

iver

y po

st

th

e ne

xt B

usin

ess

Day

aft

er p

ostin

g

Th

e Pa

rtie

s' r

espe

ctiv

e re

pres

enta

tives

for

the

rec

eipt

of

notic

es a

re,

until

cha

nged

by

not

ice

give

n in

acc

orda

nce

with

thi

s cl

ause

, as

fol

low

s:

Fo

r th

e In

stit

uti

on

: Fo

r th

e C

om

pan

y:

Nam

e:

Add

ress

:

Nam

e:

Add

ress

:

10.2

A

ssig

nm

ent:

Nei

ther

Par

ty m

ay a

ssig

n or

tra

nsfe

r th

is A

gree

men

t as

a w

hole

, or

an

y of

its

righ

ts o

r ob

ligat

ions

und

er it,

with

out

first

obt

aini

ng t

he w

ritt

en c

onse

nt o

f th

e ot

her

Part

y[,

exce

pt t

hat

the

Col

labo

rato

r m

ay a

ssig

n th

is A

gree

men

t as

a w

hole

to

a G

roup

Com

pany

with

out

the

cons

ent

of t

he I

nstit

utio

n].

Nei

ther

Par

ty w

ill

unre

ason

ably

with

hold

or

dela

y its

con

sent

. 10

.3

Ille

gal

/u

nen

forc

eab

le p

rovi

sio

ns:

If th

e w

hole

or

any

part

of

any

prov

isio

n of

thi

s Agr

eem

ent

is v

oid

or u

nenf

orce

able

in

any

jurisd

iction

, th

e ot

her

prov

isio

ns o

f th

is

Agr

eem

ent,

and

the

res

t of

the

voi

d or

une

nfor

ceab

le p

rovi

sion

, w

ill c

ontinu

e in

for

ce

in t

hat

jurisd

ictio

n, a

nd t

he v

alid

ity a

nd e

nfor

ceab

ility

of

that

pro

visi

on i

n an

y ot

her

jurisd

iction

will

not

be

affe

cted

. 10

.4

Wai

ver

of

rig

hts

: If

a P

arty

fai

ls t

o en

forc

e, o

r de

lays

in e

nfor

cing

, an

obl

igat

ion

of

the

othe

r Pa

rty,

or

fails

to

exer

cise

, or

del

ays

in e

xerc

isin

g, a

rig

ht u

nder

thi

s Agr

eem

ent,

tha

t fa

ilure

or

dela

y w

ill n

ot a

ffec

t its

rig

ht t

o en

forc

e th

at o

blig

atio

n or

co

nstit

ute

a w

aive

r of

tha

t righ

t. A

ny w

aive

r of

any

pro

visi

on o

f th

is A

gree

men

t w

ill

not,

unl

ess

expr

essl

y st

ated

to

the

cont

rary

, co

nstit

ute

a w

aive

r of

tha

t pr

ovis

ion

on

a fu

ture

occ

asio

n.

10.5

N

o a

gen

cy:

Not

hing

in t

his

Agr

eem

ent

crea

tes,

impl

ies

or e

vide

nces

any

par

tner

ship

or

joi

nt v

entu

re b

etw

een

the

Part

ies,

or

the

rela

tions

hip

betw

een

them

of

prin

cipa

l an

d ag

ent.

N

eith

er

Part

y ha

s an

y au

thor

ity

to

mak

e an

y re

pres

enta

tion

or

com

mitm

ent,

or

to in

cur

any

liabi

lity,

on

beha

lf of

the

oth

er.

306

10.6

En

tire

ag

reem

ent:

Thi

s Agr

eem

ent

and

the

Fund

ing

Term

s co

nstit

ute

the

entir

e ag

reem

ent

betw

een

the

Part

ies

rela

ting

to

its

su

bjec

t m

atte

r.

Each

Pa

rty

ackn

owle

dges

th

at it

has

not

ente

red

into

th

is Agr

eem

ent

on th

e ba

sis

of an

y w

arra

nty,

re

pres

enta

tion

, st

atem

ent,

ag

reem

ent

or

unde

rtak

ing

exce

pt

thos

e ex

pres

sly

set

out

in t

his

Agr

eem

ent.

Eac

h Pa

rty

wai

ves

any

clai

m f

or b

reac

h of

thi

s Agr

eem

ent,

or

any

righ

t to

res

cind

thi

s Agr

eem

ent

in r

espe

ct o

f, a

ny r

epre

sent

atio

n w

hich

is

not

an e

xpre

ss p

rovi

sion

of

this

Agr

eem

ent.

How

ever

, th

is c

laus

e do

es n

ot

excl

ude

any

liabi

lity

whi

ch a

Pa

rty

may

hav

e to

the

oth

er (

or a

ny r

ight

whi

ch a

Par

ty

may

hav

e to

res

cind

thi

s Agr

eem

ent)

in

resp

ect

of a

ny f

raud

ulen

t m

isre

pres

enta

tion

or f

raud

ulen

t co

ncea

lmen

t be

fore

the

sig

ning

of th

is A

gree

men

t.

10.7

Fo

rmal

itie

s: E

ach

Part

y w

ill t

ake

any

actio

n an

d ex

ecut

e an

y do

cum

ent

reas

onab

ly

requ

ired

by

the

othe

r Pa

rty

to g

ive

effe

ct t

o an

y of

its

rig

hts

unde

r th

is A

gree

men

t,

or t

o en

able

the

ir re

gist

ratio

n in

any

rel

evan

t te

rrito

ry p

rovi

ded

the

Part

y m

akin

g th

e re

ques

t pa

ys t

he o

ther

Par

ty’s

rea

sona

ble

expe

nses

. 10

.8

Am

end

men

ts:

No

variat

ion

or a

men

dmen

t of

thi

s Agr

eem

ent

will

be

effe

ctiv

e un

less

it

is m

ade

in w

ritin

g an

d si

gned

by

each

Par

ty's

rep

rese

ntat

ive.

10

.9

Thir

d p

arti

es:

No

one

exce

pt a

Par

ty h

as a

ny r

ight

to

prev

ent

the

amen

dmen

t of

th

is A

gree

men

t or

its

ter

min

atio

n, a

nd n

o on

e ex

cept

a P

arty

may

enf

orce

any

be

nefit

co

nfer

red

by

this

Agr

eem

ent,

un

less

th

is

Agr

eem

ent

expr

essl

y pr

ovid

es

othe

rwis

e, e

xcep

t th

at e

ach

Inde

mni

fied

Part

y w

ill h

ave

the

bene

fit o

f th

e re

leva

nt

inde

mni

ty a

nd K

ey P

erso

nnel

will

hav

e th

e be

nefit

of

clau

se 6

.7,

in e

ach

case

und

er

the

Con

trac

ts (

Rig

hts

of T

hird

Par

ties)

Act

199

9.

10.1

0 G

ove

rnin

g l

aw:

This

Agr

eem

ent

and

any

disp

ute

or c

laim

(in

clud

ing

non-

cont

ract

ual

disp

utes

or

clai

ms)

arisi

ng o

ut o

f or

in

conn

ectio

n w

ith i

t or

its

sub

ject

mat

ter

or

form

atio

n ar

e go

vern

ed b

y, a

nd t

his

Agr

eem

ent

is t

o be

con

stru

ed in

acc

orda

nce

with

, En

glis

h la

w.

The

Engl

ish

Cou

rts

will

hav

e ex

clus

ive

jurisd

ictio

n to

dea

l w

ith a

ny

disp

ute

(inc

ludi

ng a

ny n

on-c

ontr

actu

al c

laim

or

disp

ute)

whi

ch h

as a

rise

n or

may

ar

ise

out

of o

r in

con

nect

ion

with

thi

s Agr

eem

ent,

exc

ept

that

a P

arty

may

bring

pr

ocee

ding

s to

pro

tect

its

Int

elle

ctua

l Pr

oper

ty R

ight

s or

Con

fiden

tial

Info

rmat

ion

in

any

jurisd

ictio

n.

10.1

1 Es

cala

tio

n:

If t

he P

artie

s ar

e un

able

to

reac

h ag

reem

ent

on a

ny i

ssue

con

cern

ing

this

Agr

eem

ent

or t

he P

roje

ct w

ithin

14

days

aft

er o

ne P

arty

has

not

ified

the

oth

er o

f th

at iss

ue,

they

will

ref

er t

he m

atte

r to

[in

sert

off

icer

] in

the

cas

e of

the

Ins

titut

ion,

an

d to

[in

sert

off

icer

] in

the

cas

e of

the

Com

pany

in

an a

ttem

pt t

o re

solv

e th

e is

sue

with

in [

14]

days

aft

er t

he r

efer

ral.

Eith

er P

arty

may

bring

pro

ceed

ings

in a

ccor

danc

e w

ith c

laus

e 10

.10

if th

e m

atte

r ha

s no

t be

en r

esol

ved

with

in t

hat

[14]

day

per

iod,

an

d a

Part

y m

ay b

ring

pro

ceed

ings

to

prot

ect

its I

ntel

lect

ual

Prop

erty

Rig

hts

or

Con

fiden

tial

In

form

atio

n in

an

y ju

risd

ictio

n, w

heth

er or

no

t an

y is

sue

has

been

es

cala

ted

unde

r th

is c

laus

e.

10.1

2 A

nti

-Bri

ber

y: E

ach

Part

y w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 5.

10

.13

Dat

a P

rote

ctio

n:

Each

Par

ty w

ill c

ompl

y w

ith t

he p

rovi

sion

s se

t ou

t in

Sch

edul

e 6.

10

.14

Co

un

terp

arts

: Th

is A

gree

men

t m

ay b

e ex

ecut

ed i

n an

y nu

mbe

r of

cou

nter

part

s.

Onc

e it

has

been

exe

cute

d an

d ea

ch P

arty

has

exe

cute

d at

lea

st o

ne c

ount

erpa

rt,

each

cou

nter

part

will

con

stitu

te a

dup

licat

e or

igin

al c

opy

of t

his

Agr

eem

ent.

All

the

coun

terp

arts

tog

ethe

r w

ill c

onst

itute

a s

ingl

e ag

reem

ent.

The

tra

nsm

issi

on o

f an

exec

uted

cou

nter

part

of

this

Agr

eem

ent

(but

not

jus

t a

sign

atur

e pa

ge)

by e

-mai

l (s

uch

as i

n PD

F or

JPE

G)

will

tak

e ef

fect

as

the

deliv

ery

of a

n ex

ecut

ed o

rigi

nal

coun

terp

art

of t

his

Agr

eem

ent.

If

tha

t m

etho

d of

del

iver

y is

use

d, e

ach

Part

y w

ill

prov

ide

the

othe

r Pa

rty

with

the

origi

nal

of t

he e

xecu

ted

coun

terp

art

as s

oon

as

poss

ible

. [1

0.15

Exp

ort

Con

tro

l: e

ach

Part

y w

ill c

ompl

y w

ith a

pplic

able

UK e

xpor

t co

ntro

l le

gisl

atio

n an

d re

gula

tions

. Ea

ch P

arty

will

com

ply

with

the

spe

cific

con

ditio

ns o

f an

y U

S e

xpor

t co

ntro

l le

gisl

atio

n of

whi

ch t

he o

ther

Par

ty h

as i

nfor

med

it

in w

riting

and

whi

ch a

re

appl

icab

le t

o it.

]

SIG

NE

D o

n be

half

of t

he I

nstit

utio

n:

Nam

e: …

……

……

……

……

……

……

……

Po

sitio

n: …

……

……

……

……

……

……

……

Sig

natu

re:

……

……

……

……

……

……

……

SIG

NED

on

beha

lf of

the

Com

pany

: N

ame:

……

……

……

……

……

……

……

…

Posi

tion:

……

……

……

……

……

……

……

…

Sig

natu

re:

……

……

……

……

……

……

……

…

[R

ead

and

unde

rsto

od b

y th

e Rea

d an

d un

ders

tood

by

the

Le

ad A

cad

emic

th

e C

om

pan

y’s

Su

per

viso

r …

……

……

……

……

……

……

……

……

……

……

……

..

……

……

……

……

……

……

……

……

……

……

……

…..

Sig

natu

re

Sig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

…

……

……

……

……

……

……

……

……

……

……

……

D

ate

Dat

e [R

ead

and

unde

rsto

od b

y th

e A

ssoc

iate

…

……

……

……

……

……

……

……

……

……

……

……

..

Sig

natu

re

……

……

……

……

……

……

……

……

……

……

……

…..

D

ate]

307

SC

HED

ULE

1

T

he

Fin

anci

al C

on

trib

uti

on

SC

HED

ULE

2

Th

e P

roje

ct,

the

Pro

po

sal a

nd

the

Join

t C

om

mit

men

t S

tate

men

t

Pro

ject

Tit

le

Pro

ject

Ob

ject

ives

Lo

cati

on

B

ackg

rou

nd

/M

ater

ials

to

be

con

trib

ute

d b

y ea

ch P

arty

Ta

sks

to b

e ca

rrie

d o

ut

by e

ach

Par

ty

Tim

etab

le

Hu

man

res

ou

rces

, fa

cili

ties

an

d e

qu

ipm

ent

each

Par

ty is

to

pro

vid

e R

esu

lts

An

tici

pat

ed

Key

Per

son

nel

of

each

Par

ty

Allo

cati

on

of

Exte

rnal

Fin

din

g

[Eq

uip

men

t o

wn

ersh

ip]

Oth

er T

erm

s A

ttac

h t

he

Pro

po

sal a

nd

th

e Jo

int

Co

mm

itm

ent

Sta

tem

ent

308

SC

HED

ULE

3

The

Gra

nt

Off

er L

ette

r

SC

HED

ULE

4

Goo

d D

ata

Man

agem

ent

Pra

ctic

es

1.Res

earc

h da

ta m

ust

be g

ener

ated

usi

ng s

ound

sci

entif

ic t

echn

ique

s an

d pr

oces

ses;

2.Res

earc

h da

ta

mus

t be

ac

cura

tely

re

cord

ed

in

acco

rdan

ce

with

go

od

scie

ntifi

cpr

actic

es b

y th

e pe

ople

con

duct

ing

the

rese

arch

;

3.Res

earc

h da

ta m

ust

be a

naly

sed

appr

opriat

ely,

with

out

bias

and

in

acco

rdan

ce w

ithgo

od s

cien

tific

pra

ctic

es;

4.Res

earc

h da

ta a

nd t

he R

esul

ts m

ust

be s

tore

d se

cure

ly a

nd b

e ea

sily

ret

riev

able

;

5.D

ata

trai

ls m

ust

be k

ept

to a

llow

peo

ple

to d

emon

stra

te e

asily

and

to

reco

nstr

uct

key

deci

sion

s m

ade

during

the

con

duct

of

the

rese

arch

, pr

esen

tatio

ns m

ade

abou

t th

ere

sear

ch a

nd c

oncl

usio

ns r

each

ed in

res

pect

of th

e re

sear

ch;

and

6.Ea

ch P

arty

mus

t ha

ve t

he r

ight

, on

not

les

s th

an [

30]

days

’ w

ritt

en n

otic

e, t

o vi

sit

the

othe

r Pa

rty

to v

erify

tha

t th

e ot

her

Part

y is

com

plyi

ng w

ith t

he a

bove

pra

ctic

esan

d pr

oced

ures

.

309

S

CH

EDU

LE 5

An

ti-B

rib

ery

1.

Ea

ch P

arty

will

, in

con

nect

ion

with

the

Pro

ject

:

1.1

com

ply

with

all

law

s, s

tatu

tes

and

regu

latio

ns w

hich

app

ly t

o it

or it

s ac

tiviti

es

and

whi

ch r

elat

e to

ant

i-br

iber

y or

ant

i-co

rrup

tion

(or

both

) in

clud

ing

the

Bribe

ry A

ct 2

010;

1.2

not

do a

nyth

ing

whi

ch w

ould

con

stitu

te a

n of

fenc

e un

der

sect

ion

1, 2

or

6 of

th

e Bribe

ry A

ct 2

010

if it

had

been

car

ried

out

in t

he U

nite

d K

ingd

om;

1.

3 ha

ve p

olic

ies

and

proc

edur

es (

incl

udin

g ad

equa

te p

roce

dure

s as

det

erm

ined

in

acco

rdan

ce w

ith s

ectio

n 7(

2) o

f th

e Bribe

ry A

ct 2

010

and

any

guid

ance

issu

ed

unde

r se

ctio

n 9

of t

hat

Act

) to

ens

ure

com

plia

nce

with

par

agra

phs

1.1

and

1.2

abov

e;

1.4

follo

w a

nd e

nfor

ce t

he p

olic

ies

and

proc

edur

es r

efer

red

to i

n pa

ragr

aph

1.3

abov

e;

1.5

prom

ptly

rep

ort

to t

he o

ther

Par

ty a

ny r

eque

st o

r de

man

d fo

r an

y un

due

finan

cial

or

othe

r ad

vant

age

of a

ny k

ind

rece

ived

by

it;

1.6

prov

ide

such

evi

denc

e of

com

plia

nce

with

thi

s Sch

edul

e as

the

oth

er P

arty

m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

1.

7 ke

ep ac

cura

te an

d up

to

date

re

cord

s an

d bo

oks

of ac

coun

t sh

owin

g al

l pa

ymen

ts m

ade

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by it

to c

ompl

y w

ith t

his

Sch

edul

e. (

Thos

e re

cord

s an

d bo

oks

of a

ccou

nt m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.);

and

1.

8 on

req

uest

dur

ing

norm

al w

orki

ng h

ours

, al

low

the

oth

er P

arty

acc

ess

to a

nd

to c

opy

thos

e re

cord

s an

d ac

coun

ts a

nd t

o m

eet

with

its

per

sonn

el t

o ve

rify

com

plia

nce

with

thi

s Sch

edul

e.

2.

Each

Pa

rty

will

en

sure

th

at

any

pers

on

asso

ciat

ed

with

it

(as

dete

rmin

ed

in

acco

rdan

ce w

ith s

ectio

n 8

of t

he B

ribe

ry A

ct 2

010

and

para

grap

h 6

belo

w)

who

is

invo

lved

in

the

Proj

ect,

is

invo

lved

in

the

Proj

ect

only

on

the

basi

s of

a w

ritt

en

cont

ract

whi

ch i

mpo

ses

on t

hat

pers

on t

erm

s eq

uiva

lent

to

thos

e im

pose

d on

tha

t Pa

rty

in t

his

Sch

edul

e.

3.

Each

Par

ty w

ill e

nsur

e th

at e

ach

pers

on r

efer

red

to i

n pa

ragr

aph

2 ab

ove

com

plie

s w

ith t

erm

s eq

uiva

lent

to

the

term

s im

pose

d by

thi

s Sch

edul

e, a

nd w

ill b

e lia

ble

to t

he

othe

r Pa

rty

for

any

brea

ch b

y th

at p

erso

n of

any

of

thos

e te

rms.

4.

A p

erso

n as

soci

ated

with

a P

arty

inc

lude

s its

em

ploy

ees,

its

stu

dent

s, i

ts g

roup

co

mpa

nies

and

sub

cont

ract

ors

and

thei

r re

spec

tive

empl

oyee

s.

S

CH

EDU

LE 6

Dat

a P

rote

ctio

n

Whe

re a

Par

ty (

the

Dat

a P

roce

sso

r) P

roce

sses

any

Per

sona

l D

ata

on b

ehal

f of

the

oth

er

Part

y (t

he

Dat

a C

on

tro

ller)

, th

e pr

ovis

ions

of

this

Sch

edul

e w

ill a

pply

. 1.

Th

e Pa

rty

whi

ch c

arries

out

the

Pro

cess

ing

will

be

the

Dat

a Pr

oces

sor

and

the

Part

y w

hich

det

erm

ines

the

pur

pose

of

the

Proc

essi

ng w

ill b

e th

e D

ata

Con

trol

ler

in r

elat

ion

to t

hat

Pers

onal

Dat

a an

d th

e D

ata

Proc

esso

r w

ill:

1.

1 Pr

oces

s th

at P

erso

nal D

ata

in a

ccor

danc

e w

ith t

he D

ata

Prot

ectio

n Le

gisl

atio

n,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

wou

ld h

ave

wer

e th

eir

Pers

onal

Dat

a be

ing

Proc

esse

d by

the

Dat

a Con

trol

ler;

1.

2 Pr

oces

s th

at P

erso

nal

Dat

a on

ly in

ac

cord

ance

w

ith th

e D

ata

Con

trol

ler’s

inst

ruct

ions

fro

m t

ime

to t

ime

and

only

for

the

pur

pose

of

carr

ying

out

the

Pr

ojec

t;

1.3

take

suc

h te

chni

cal

and

orga

nisa

tiona

l m

easu

res

as m

ay b

e ap

prop

riat

e to

en

sure

the

sec

urity

of

that

Per

sona

l D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

offic

ers

and

agen

ts w

ho m

ay h

ave

acce

ss t

o, o

r be

inv

olve

d in

, th

e Pr

oces

sing

of

that

Per

sona

l D

ata.

W

ithou

t pr

ejud

ice

to t

he g

ener

ality

of

the

fore

goin

g, i

t w

ill k

eep

that

Per

sona

l D

ata

secu

re f

rom

any

una

utho

rise

d or

ac

cide

ntal

use

, ac

cess

, di

sclo

sure

, da

mag

e, lo

ss o

r de

stru

ctio

n;

1.4

give

th

e D

ata

Con

trol

ler

such

in

form

atio

n an

d as

sist

ance

as

th

e D

ata

Con

trol

ler

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he D

ata

Con

trol

ler

to m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, i

n pa

rtic

ular

com

plyi

ng w

ith D

ata

Sub

ject

s’

requ

ests

fo

r ac

cess

to

, in

form

atio

n ab

out,

an

d th

e re

ctifi

catio

n of

th

eir

Pers

onal

Dat

a;

1.5

notif

y th

e D

ata

Con

trol

ler

imm

edia

tely

sh

ould

it

rece

ive

any

requ

est

or

enqu

iry

from

an

y D

ata

Sub

ject

in

re

latio

n to

th

e Pe

rson

al

Dat

a be

ing

Proc

esse

d fo

r th

e D

ata

Con

trol

ler,

giv

e th

e D

ata

Con

trol

ler

such

ass

ista

nce

in

deal

ing

with

tha

t re

ques

t or

enq

uiry

as

the

Dat

a Con

trol

ler

may

rea

sona

bly

requ

est,

an

d no

t re

spon

d to

an

y su

ch

requ

est

or

enqu

iry

with

out

first

ob

tain

ing

the

Dat

a Con

trol

ler’s

writt

en c

onse

nt;

1.

6 no

tify

the

Dat

a Con

trol

ler

imm

edia

tely

of

any

actu

al o

r su

spec

ted

brea

ch o

f se

curity

whi

ch in

volv

es t

hat

Pers

onal

Dat

a or

bre

ach

of t

his

para

grap

h 1;

and

1.

7 no

t tr

ansf

er t

hat

Pers

onal

Dat

a ou

tsid

e th

e Eu

rope

an E

cono

mic

Are

a [

to a

te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e righ

ts a

nd f

reed

oms

of D

ata

Sub

ject

s]

with

out

first

obt

aini

ng t

he D

ata

Con

trol

ler’s

writt

en c

onse

nt.

2.

Th

e D

ata

Proc

esso

r w

ill a

llow

the

Dat

a Con

trol

ler

at a

ll re

ason

able

tim

es t

o in

spec

t an

d re

view

the

ste

ps b

eing

tak

en b

y th

e D

ata

Proc

esso

r to

com

ply

with

par

agra

ph 1

ab

ove,

and

will

giv

e th

e D

ata

Con

trol

ler

any

assi

stan

ce w

hich

the

Dat

a Con

trol

ler

reas

onab

ly r

equi

res

with

tha

t in

spec

tion

and

revi

ew.

310

3.

All

expr

essi

ons

used

in

para

grap

h 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l let

ter

(and

no

t de

fined

els

ewhe

re i

n th

is A

gree

men

t) h

ave

the

mea

ning

giv

en t

o th

em i

n th

e D

ata

Prot

ectio

n Le

gisl

atio

n.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it int

o lin

e w

ith a

ny a

men

dmen

t to

or

re-e

nact

men

t of

an

y D

ata

Prot

ectio

n Le

gisl

atio

n, i

n pa

rtic

ular

, bu

t w

ithou

t lim

itatio

n, t

o re

flect

any

Eur

opea

n G

ener

al D

ata

Prot

ectio

n Reg

ulat

ion

intr

oduc

ed a

fter

the

dat

e of

thi

s Agr

eem

ent,

or

to a

llow

eac

h of

the

Pa

rtie

s to

co

mpl

y w

ith

any

requ

irem

ent

or

reco

mm

enda

tion

of

the

Info

rmat

ion

Com

mis

sion

er o

r an

y ot

her

data

pro

tect

ion

or s

uper

viso

ry a

utho

rity

in r

elat

ion

to t

he

Proc

essi

ng o

f Pe

rson

al D

ata.

5.

Para

grap

hs 1

– 4

abo

ve (

both

par

agra

phs

incl

usiv

e) w

ill c

ontin

ue i

n fu

ll fo

rce

and

effe

ct f

or s

o lo

ng a

s th

e D

ata

Proc

esso

r Pr

oces

ses

any

Pers

onal

Dat

a on

beh

alf

of t

he

Dat

a Con

trol

ler,

not

withs

tand

ing

the

term

inat

ion

of t

his

Agr

eem

ent

or t

he c

ompl

etio

n of

the

Pro

ject

. 6.

Th

e D

ata

Proc

esso

r w

ill i

ndem

nify

the

Dat

a Con

trol

ler

and

keep

the

Dat

a Con

trol

ler

fully

an

d ef

fect

ivel

y in

dem

nifie

d on

de

man

d ag

ains

t al

l co

sts,

cl

aim

s, de

man

ds,

expe

nses

and

liab

ilitie

s of

any

nat

ure

aris

ing

out

of o

r in

con

nect

ion

with

any

bre

ach

by t

he D

ata

Proc

esso

r of

thi

s Sch

edul

e.

O

R

Whe

re bo

th Pa

rtie

s de

term

ine

the

purp

ose

of th

e Pr

oces

sing

in

re

spec

t of

an

y Pe

rson

al D

ata

whi

ch i

s Pr

oces

sed

in t

he c

ours

e of

or

for

the

purp

ose

of t

he P

roje

ct,

the

prov

isio

ns o

f th

is S

ched

ule

will

app

ly.

1.

Each

of

the

Part

ies

will

be

a D

ata

Con

trol

ler

in r

elat

ion

to t

hose

Per

sona

l Dat

a an

d it

will

com

ply

with

the

fol

low

ing

in r

elat

ion

to a

ny P

erso

nal D

ata

whi

ch i

t Pr

oces

ses

in

conn

ectio

n w

ith t

he P

roje

ct. It

will

:

1.

1 Pr

oces

s th

at P

erso

nal

Dat

a in

acc

orda

nce

with

the

Dat

a Pr

otec

tion

Act

199

8,

affo

rdin

g to

Dat

a Sub

ject

s su

ch r

ight

s an

d pr

otec

tions

as

they

hav

e un

der

the

Dat

a Pr

otec

tion

Act

;

1.2

Proc

ess

that

Per

sona

l Dat

a on

ly f

or t

he p

urpo

se o

f ca

rryi

ng o

ut t

he P

roje

ct;

1.

3 ta

ke s

uch

tech

nica

l an

d or

gani

satio

nal

mea

sure

s as

may

be

appr

opriat

e to

en

sure

the

sec

urity

of

that

Per

sona

l D

ata

and

the

relia

bilit

y of

its

em

ploy

ees,

st

aff,

offic

ers

and

agen

ts w

ho m

ay h

ave

acce

ss t

o, o

r be

inv

olve

d in

, th

e Pr

oces

sing

of

that

Per

sona

l D

ata.

W

ithou

t pr

ejud

ice

to t

he g

ener

ality

of

the

fore

goin

g, i

t w

ill k

eep

that

Per

sona

l D

ata

secu

re f

rom

any

una

utho

rise

d or

ac

cide

ntal

use

, ac

cess

, di

sclo

sure

, da

mag

e, lo

ss o

r de

stru

ctio

n;

1.

4 gi

ve t

he o

ther

Par

ty s

uch

info

rmat

ion

and

assi

stan

ce a

s it

reas

onab

ly r

equi

res

in o

rder

to

enab

le t

he o

ther

Par

ty t

o m

eet

its o

blig

atio

ns t

o D

ata

Sub

ject

s, in

part

icul

ar c

ompl

ying

with

Dat

a Sub

ject

s’ r

eque

sts

for

acce

ss t

o, i

nfor

mat

ion

abou

t, a

nd t

he r

ectif

icat

ion

of t

heir P

erso

nal D

ata;

1.5

notif

y th

e ot

her

Part

y im

med

iate

ly s

houl

d it

rece

ive

any

requ

est

or e

nqui

ry

from

any

Dat

a Sub

ject

in r

elat

ion

to t

he P

erso

nal D

ata

bein

g Pr

oces

sed

for

the

purp

ose

of t

he P

roje

ct,

give

the

oth

er P

arty

suc

h as

sist

ance

in

deal

ing

with

th

at r

eque

st o

r en

quiry

as it

may

rea

sona

bly

requ

est;

1.6

notif

y th

e ot

her

Part

y im

med

iate

ly of

an

y ac

tual

or

su

spec

ted

brea

ch of

se

curity

whi

ch in

volv

es t

hat

Pers

onal

Dat

a or

bre

ach

of t

his

para

grap

h 1;

and

1.7

not

tran

sfer

tha

t Pe

rson

al D

ata

outs

ide

the

Euro

pean

Eco

nom

ic A

rea

[to

a te

rrito

ry w

hich

doe

s no

t pr

otec

t th

e righ

ts a

nd f

reed

oms

of D

ata

Sub

ject

s]

with

out

first

obt

aini

ng t

he o

ther

Par

ty’s

writt

en c

onse

nt.

2.

Ea

ch P

arty

will

allo

w t

he o

ther

Par

ty a

t al

l rea

sona

ble

times

to

insp

ect

and

revi

ew t

he

step

s be

ing

take

n by

it

to c

ompl

y w

ith p

arag

raph

1 a

bove

, an

d w

ill g

ive

the

othe

r Pa

rty

any

assi

stan

ce w

hich

it r

easo

nabl

y re

quires

with

tha

t in

spec

tion

and

revi

ew.

3.

All

expr

essi

ons

in p

arag

raph

s 1,

2,

4, 5

or

6 be

ginn

ing

with

a c

apita

l le

tter

(an

d no

t de

fined

els

ewhe

re i

n th

is A

gree

men

t) h

ave

the

mea

ning

giv

en t

o th

em i

n th

e D

ata

Prot

ectio

n Le

gisl

atio

n.

4.

Th

e Pa

rtie

s w

ill a

gree

to

any

reas

onab

le a

men

dmen

t to

thi

s Sch

edul

e to

bring

it int

o lin

e w

ith a

ny a

men

dmen

t to

or

re-e

nact

men

t of

any

Dat

a Pr

otec

tion

Legi

slat

ion,

in

part

icul

ar t

o re

flect

any

Eur

opea

n G

ener

al D

ata

Prot

ectio

n Reg

ulat

ion

intr

oduc

ed

afte

r th

e da

te o

f th

is A

gree

men

t, o

r to

allo

w e

ach

of t

he P

artie

s to

com

ply

with

any

re

quirem

ent

or r

ecom

men

datio

n of

the

Inf

orm

atio

n C

omm

issi

oner

or

any

othe

r da

ta

prot

ectio

n or

sup

ervi

sory

aut

hority

in r

elat

ion

to t

he P

roce

ssin

g of

Per

sona

l Dat

a.

5.

Pa

ragr

aphs

1 –

4 a

bove

(bo

th p

arag

raph

s in

clus

ive)

will

con

tinue

in

full

forc

e an

d ef

fect

for

so

long

as

a Pa

rty

is a

Dat

a Con

trol

ler

or s

hare

s an

y Pe

rson

al D

ata

with

the

ot

her

Part

y, n

otw

ithst

andi

ng t

he t

erm

inat

ion

of t

his

Agr

eem

ent

or t

he c

ompl

etio

n of

th

e Pr

ojec

t.

311

[SC

HED

ULE

7]

P

art

1 -

Hu

man

Rig

hts

1.

U

nles

s ot

herw

ise

requ

ired

or

proh

ibite

d by

law

, ea

ch P

arty

will

, in

rel

atio

n to

the

pe

rfor

man

ce o

f th

is A

gree

men

t:

1.

67

not

empl

oy,

enga

ge o

r us

e an

y ch

ild l

abou

r in

circu

mst

ance

s su

ch t

hat

the

task

s pe

rfor

med

by

any

child

cou

ld r

easo

nabl

y be

for

esee

n to

cau

se e

ither

ph

ysic

al o

r em

otio

nal i

mpa

irm

ent

to t

he d

evel

opm

ent

of t

he c

hild

;

1.68

no

t us

e fo

rced

labo

ur in

any

for

m (

pris

on,

inde

ntur

ed,

bond

ed o

r ot

herw

ise)

;

1.69

no

t re

quire

its e

mpl

oyee

s to

lodg

e pa

pers

or

depo

sits

on

star

ting

wor

k;

1.70

pr

ovid

e a

safe

and

hea

lthy

wor

kpla

ce,

pres

entin

g no

imm

edia

te h

azar

ds t

o its

em

ploy

ees,

an

d if

any

acco

mm

odat

ion

is

prov

ided

by

th

at

Part

y to

its

em

ploy

ees,

tha

t a

ccom

mod

atio

n w

ill b

e sa

fe for

hab

itatio

n;

1.71

pr

ovid

e ac

cess

to

cl

ean

wat

er,

food

, an

d em

erge

ncy

heal

thca

re

to

its

empl

oyee

s in

the

eve

nt o

f ac

cide

nts

or in

cide

nts

in t

he w

orkp

lace

; 1.

72

not

disc

rim

inat

e ag

ains

t an

y em

ploy

ee o

n an

y gr

ound

(in

clud

ing

race

, re

ligio

n,

disa

bilit

y or

gen

der)

;

1.73

no

t en

gage

in

or s

uppo

rt t

he u

se o

f co

rpor

al p

unis

hmen

t, m

enta

l, ph

ysic

al,

sexu

al o

r ve

rbal

abu

se;

1.74

no

t us

e cr

uel o

r ab

usiv

e di

scip

linar

y pr

actic

es in

the

wor

kpla

ce;

1.75

pa

y ea

ch e

mpl

oyee

at

leas

t th

e m

inim

um w

age,

or

a fa

ir r

epre

sent

atio

n of

the

pr

evai

ling

indu

stry

w

age,

(w

hich

ever

is

th

e hi

gher

) an

d pr

ovid

e ea

ch

empl

oyee

with

all

lega

lly m

anda

ted

bene

fits;

1.

76

com

ply

with

th

e la

ws

on

wor

king

ho

urs

and

empl

oym

ent

righ

ts

in

the

coun

trie

s in

whi

ch it

ope

rate

s; a

nd

1.77

re

spec

t its

em

ploy

ees’

rig

ht t

o jo

in a

nd f

orm

ind

epen

dent

tra

de u

nion

s an

d fr

eedo

m o

f as

soci

atio

n.

2.

Each

Par

ty a

gree

s th

at it

is r

espo

nsib

le f

or c

ontr

ollin

g its

ow

n su

pply

cha

in a

nd t

hat

it w

ill

enco

urag

e co

mpl

ianc

e w

ith

ethi

cal

stan

dard

s an

d hu

man

righ

ts

by

any

subs

eque

nt s

uppl

ier

of g

oods

and

ser

vice

s th

at a

re u

sed

by i

t w

hen

perf

orm

ing

its

oblig

atio

ns u

nder

thi

s Agr

eem

ent.

3.

Ea

ch P

arty

will

ens

ure

that

it

has,

and

will

com

ply

with

, et

hica

l an

d hu

man

rig

hts

polic

ies

and

an a

ppro

pria

te c

ompl

aint

s pr

oced

ure

to d

eal w

ith a

ny b

reac

hes

of t

hose

po

licie

s.

P

art

2 –

An

ti-S

lave

ry

Each

Par

ty w

ill,

in c

onne

ctio

n w

ith t

he P

roje

ct:

55.

com

ply

with

all

law

s, s

tatu

tes

and

regu

lation

s w

hich

app

ly t

o it

or i

ts a

ctiv

ities

and

w

hich

rel

ate

to a

nti-sl

aver

y an

d hu

man

tra

ffic

king

, in

clud

ing

the

Mod

ern

Sla

very

Act

20

15;

56

. no

t do

any

thin

g w

hich

wou

ld c

onst

itute

an

offe

nce

unde

r se

ctio

n 1,

2 o

r 4

Mod

ern

Sla

very

Act

201

5 if

it ha

d be

en c

arried

out

in t

he U

nite

d Kin

gdom

;

57

. ha

ve

and

mai

ntai

n its

ow

n po

licie

s an

d pr

oced

ures

to

en

sure

co

mpl

ianc

e w

ith

para

grap

hs 1

and

2 a

bove

;

58

. fo

llow

and

enf

orce

the

pol

icie

s an

d pr

oced

ures

ref

erre

d to

in p

arag

raph

3 a

bove

;

59.

incl

ude

in its

con

trac

ts w

ith its

sub

cont

ract

ors

and

supp

liers

ant

i-sl

aver

y an

d hu

man

tr

affic

king

pro

visi

ons

whi

ch a

re a

t le

ast

as o

nero

us a

s th

ose

set

out

in t

his

sect

ion

of

this

Sch

edul

e;

60

. pr

ompt

ly r

epor

t to

the

oth

er P

arty

any

bre

ach

of t

his

sect

ion

of t

his

Sch

edul

e of

w

hich

it b

ecom

es a

war

e;

61

. pr

ovid

e su

ch e

vide

nce

of c

ompl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e as

the

oth

er

Part

y m

ay r

easo

nabl

y re

ques

t fr

om t

ime

to t

ime;

62.

keep

acc

urat

e an

d up

to

date

rec

ords

to

trac

e th

e su

pply

cha

in o

f al

l go

ods

and

mat

eria

ls s

uppl

ied

by i

t in

con

nect

ion

with

thi

s Agr

eem

ent

and

the

Proj

ect

and

the

step

s ta

ken

by i

t to

com

ply

with

thi

s se

ctio

n of

thi

s Sch

edul

e. (

Thos

e re

cord

s m

ust

be s

uffic

ient

to

allo

w t

he o

ther

Par

ty t

o ve

rify

com

plia

nce

with

thi

s se

ctio

n of

thi

s Sch

edul

e.);

and

63.

on r

eque

st d

urin

g no

rmal

wor

king

hou

rs,

allo

w t

he o

ther

Par

ty a

cces

s to

and

to

copy

th

e re

cord

s re

ferr

ed t

o in

par

agra

ph 8

abo

ve a

nd t

o m

eet

with

its

pers

onne

l to

verif

y co

mpl

ianc

e w

ith t

his

sect

ion

of t

his

Sch

edul

e.

[Par

t 3

- t

he

Co

mp

any’

s P

olic

ies

and

Pro

ced

ure

s Ea

ch P

arty

will

com

ply

with

the

fol

low

ing:

[I

nser

t de

tails

]]

312

313

[]

[]

1

20

1

(1)

[]

(2)

[]

[]

[]

[]

1

.

314

(Tra

nsla

tion

)

Lam

bert

Col

labo

ratio

n Agr

eem

ent

1 (f

inal

)3

[]

9.2

[[

] ]

[]

[

]

1998

EU20

0020

00EU

2003

EC

[

]

[

[]

]

1

[

[]

]

[

[3

] ]

(Tra

nsla

tion

)

Lam

bert

Col

labo

ratio

n Agr

eem

ent

1 (f

inal

)4

4

2.14

[]

9.2

[]

2.1

2[

]

315

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

5

1.2

1.

3

1.4

1.

5

1.6

1.

7

1.8

1.

9

[1

.10

1.

11

]

[

]

1994

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

6

2.

2.

1 [

] [

] [

] [

] 8

9

2.

2 [

] [

]

[]

[]

2.

3 [

] [

]

2.

4

2.

5

2.

6 [

] [

] 7

[

7[3

] ]

2.

7 [

] [

] [

] [

]

2.

8 [

] [

] [

] [

] [

] [

] [

]

2.9

[]

[]

[]

[]

[]

[]

[]

[]

316

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

7

2.8

[]

[]

2.

10

[]

2.

11

[]

[2

.10

[30]

]

[2

.11

2.

11.1

2.11

.2

1.

1 2.

11.3

10

.1]

2.

14

[

]

3

. [

]

3.1

[]

[]

[]

[30]

[60

] [9

0]

1

3.

2

3.

3

[3

[4]

] [1

998

2013

]

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

8

3.

4 [

] [

]

4.

4.

1

4.

2

4.

3

4.

4

4.

5 4

4.6

[]

[]

5.

5.

1

317

(Tra

nsla

tion

)

Lam

bert

Col

labo

ratio

n Agr

eem

ent

1 (f

inal

)9

5.2

5.1.

1

5.1.

2

5.2

[30]

[60

] [9

0]

5.2.

1

[●

5.2.

2.

[15]

[3

0]

[

]

5.3

6.

6.1

[]

5[

[3]

[5]

[7]

[10]

]

6.2

6.2.

1

(Tra

nsla

tion

)

Lam

bert

Col

labo

ratio

n Agr

eem

ent

1 (f

inal

)10

6.2.

2

6.2.

3

6.2.

4

6.2.

5 20

0020

04

6.2.

6

6.3

6.3.

1 [

] 5.

2

6.3.

2

6.4

6.5

[

]

6.6

2000

2004

318

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

11

[10]

20

0020

04

[

2000

2004

6.

6.1

6.6

10

6.6.

2 20

0020

04

]

6.

7

6.

8 [

] [

]

7

.

7.1

[[

]

7.1

7.

2 [

7.1

] [

6.6

] 7.

37.

47.

8

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

12

7.

3 7.

7.1

[]

7.3.

1

7.3.

2

7.3.

3

7.3.

4

7.3.

5

7.

36

7.

4 7.

7.3

6

7.

5 7.

77.

8[

6.6

] 7.

37.

4

7.5.

1

7.5.

2

7.

6 7.

77.

8

[]

[]

[●[

] ]

7.

7 7.

8

319

(Tra

nsla

tion

) La

mbe

rt C

olla

bora

tion

Agr

eem

ent

1 (f

inal

)

13

7.

7.1

7.3

●[]

7.

7.2

7.4

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7.

7.3

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] ]

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8

7.

8.1

7.

8.2

7.

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[]

7.9

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9.1

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1 [3

0] [

60]

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ent

1 (f

inal

)

14

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3 [

9.6

9.7

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9.

4 1

34

9.5

56

78

9.4

9.5

9.6

9.7

9.8

10

66.

1

9.5

89.

19.

29.

3

9.5.

1 5

9.5.

2 9.

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6

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6 [

] 9.

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7 9.

19.

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]

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1

0.

10

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:

320

(Tra

nsla

tion

)

15

2

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[

]

10.3

10.4

10.5

10.6

[]

(Tra

nsla

tion

)

16

10. 7

10.8

10.9

6.

719

99

10.1

0

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1

[14]

[

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3 6

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PDF

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1

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(Tra

nsla

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19

2

[]

(Tra

nsla

tion

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20

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]

323

(Tra

nsla

tion

)

21

4

1. 2.go

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cien

tific

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3.go

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cien

tific

pra

ctic

es

4.

5. 6.[3

0]

(Tra

nsla

tion

)

22

5

1.

1.1

2010

1.2

2010

12

6

1.3

1.1

1.2

2010

72

9

1.4

1.3

1.5

1.6

1.7

1.8

2.20

108

4

3.2

4.

324

(Tra

nsla

tion

)

23

6

1.

1.1

1.2

1.3

1.4

1.5

1.6

1

1.7

[]

2.1

3.1

24

56

Dat

aPr

oces

sor

Proc

ess

Pers

onal

Dat

aPr

oces

sing

Dat

a Sub

ject

s

4.

(Tra

nsla

tion

)

24

5.1

4

6.

1.

1.1

1998

1.2

1.3

1.4

1.5

1.6

1

1.7

[]

2.1

325

(Tra

nsla

tion

)

25

3.1

24

56

Dat

aPr

oces

sor

Proc

ess

Pers

onal

Dat

aPr

oces

sing

Dat

a Sub

ject

s

4. 5.1

4

(Tra

nsla

tion

)

26

[7

]

1

1.

1.1

1.2

1.3

1.4

1.5

1.6

1.7

1.8

1.9

1.10

1.11

2. 3.

2 –

1.20

15

2.20

151

24

326

(Tra

nsla

tion

)

27

3.1

2

4.3

5. 6. 7. 8. 9.8

[3

–

[]

]

(Tra

nsla

tion

)

28

_ ___

____

____

____

____

____

201[

]

(1)

[]

(2)

[]

2

327

(Tra

nsla

tion

)

29

20

1●

●●

(1)

[]

[]

(2)

[ [

] [

] [

] ]

[]

[]

[]

[ [

] [

NH

S]

] [

]

[]

[

]

1.

1.1

56

[[

] [

] [

]

10.8

(Tra

nsla

tion

)

30

[]

[]

9.2

[[

] ]

[]

[

]

1998

EU20

0020

00EU

2003

EC

[

]

[

[]

]

1

[

[]

]

[

[3

328

(Tra

nsla

tion

)

31

] ]

4

2.14

[]

9.2

[]

2.1

2[

]

(Tra

nsla

tion

)

32

1.2

1.3

1.4

1.5

1.6

1.7

1.8

1.9

[1.1

0

[]

1994

329

(Tra

nsla

tion

)

33

1.1 1

]

2.

2.1

[]

[]

[]

[]

89

2.2

[]

[]

[]

[]

2.3

[]

[]

2.4

2.5

2.6

[]

[]

7[

7[3

] ]

2.7

[]

[]

[]

[]

2.8

[]

[]

[]

[]

[]

[]

[]

(Tra

nsla

tion

)

34

2.9

[]

[]

[]

[]

[]

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1.15

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1.17

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343

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61

1.2

1.3

1.4

1.5

1.6

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1994

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)

62

1.1 1

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2.1

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2.7

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)

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820

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3.4

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4.4

4.5

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5.1

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1998

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1.26

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1.28

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1.30

1.31

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2015

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84

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1998

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357

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90

1.2

1.3

1.4

1.5

1.6

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10.8

10.9

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719

99

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(Tra

nsla

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)

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1.1

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1.2

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9

1.4

1.3

1.5

1.6

1.7

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2.20

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4.

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109

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1.3

1.4

1.5

1.6

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2.1

(Tra

nsla

tion

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110

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4. 5.1

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1.34

1.35

1.36

1.37

1.38

1.39

1.40

1.41

1.42

1.43

1.44

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2 –

28.

2015

29.

2015

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4

(Tra

nsla

tion

)

112

30.

12

31.

3

32.

33.

34.

35.

36.

8

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369

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nsla

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nsla

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114

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1.1

56

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370

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nsla

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)

115

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nsla

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116

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371

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nsla

tion

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117

1.2

1.3

2.14

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2.1

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]

[]

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] ]

]

1994

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nsla

tion

)

118

1.4

1.5

1.6

1.7

1.8

1.9

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0

1.11

]

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2.1

[]

[]

[]

[]

89

2.2

[]

[]

[]

[]

2.3

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[]

372

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nsla

tion

)

119

2.4

2.5

2.6

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[]

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0]

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3.2

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998

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4.1

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nsla

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7.10

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810

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3]

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10.1

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nsla

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130

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10.5

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10.8

10.9

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719

99

378

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nsla

tion

)

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nsla

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133

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nsla

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nsla

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3.go

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tific

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4.

5. 6.[3

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381

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nsla

tion

)

137

5

1.

1.1

2010

1.2

2010

12

6

1.3

1.1

1.2

2010

72

9

1.4

1.3

1.5

1.6

1.7

1.12

2.20

108

4

3.2

4.

(Tra

nsla

tion

)

138

6

1.

1.1

1.2

1.3

1.4

1.5

1.6

1

1.7

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3.1

24

56

Dat

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sor

Proc

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Pers

onal

Dat

aPr

oces

sing

Dat

a Sub

ject

s

4.

382

(Tra

nsla

tion

)

139

5.1

4

6.

1.

1.1

1998

1.2

1.3

1.4

1.5

1.6

1

1.7

[]

2.1

(Tra

nsla

tion

)

140

3.1

24

56

Dat

aPr

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sor

Proc

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Pers

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Dat

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sing

Dat

a Sub

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4. 5.1

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383

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nsla

tion

)

141

[7

]

1

1.

1.45

1.46

1.47

1.48

1.49

1.50

1.51

1.52

1.53

1.54

1.55

2. 3.

2 –

37.

2015

38.

2015

12

4

(Tra

nsla

tion

)

142

39.

12

40.

3

41.

42.

43.

44.

45.

8

[3

–

[]

]

384

(Tra

nsla

tion

)

143

[8

[]

[]

]

(Tra

nsla

tion

)

144

___ _

____

____

____

____

____

201[

]

(1)

[]

(2)

[]

5

385

(Tra

nsla

tion

)

145

20

1●

●●

(1)

[]

[]

(2)

[ [

] [

] [

] ]

[]

[]

[]

[ [

] [

NH

S]

] [

]

[]

1.

1.1

10.8

[]

[]

9.2

[[

] ]

[]

(Tra

nsla

tion

)

146

[

]

1998

EU20

0020

00EU

2003

EC 1 3

386

(Tra

nsla

tion

)

147

1.2

1.3

1.4

2.14

[]

9.2

[]

2.1

2

[]

[]

1994

(Tra

nsla

tion

)

148

1.5

1.6

1.7

1.8

1.9

2.

2.1

[]

[]

89

2.2

[]

[]

[]

[]

2.3

[]

[]

2.4

2.5

387

(Tra

nsla

tion

)

149

2.6

[ [

] [

] 6

[

63

] ]

2.7

[]

[]

[]

[]

2.8

[]

[]

[]

[]

[]

[]

[]

2.9

[]

[]

[]

[]

[]

[]

[]

[]

2.8

[]

[]

2.10

[]

2.11

[

]

2.12

3.

3.1

[]

[]

[30]

[60

] [9

0]

1

3.2

3.3

[3

[4]

]

(Tra

nsla

tion

)

150

[199

820

13]

3.4

[]

4.

4.1

4.2

4.3

4.4

4.5

4

4.6

4.7

388

(Tra

nsla

tion

)

151

6.

6.1

5[

[3]

[5]

[7]

[10]

]

6.2

6.2.

1

6.2.

2

6.2.

3

6.2.

4

6.2.

5 20

0020

04

6.2.

6

6.3

6.4

2000

2004

(Tra

nsla

tion

)

152

[10]

20

0020

04

[

2000

2004

6.4.

1 6.

410

6.4.

2 20

0020

04

]

6.5

6.6

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]

7.

7.1

[[

]

7.1

[7.

10]

7.2

[7.

1]

[7.

10]

[6.

6]

7.3

7.4

7.8

389

(Tra

nsla

tion

)

153

7.3

7.7.

1[

]

7.3.

1

7.3.

2

7.3.

3

7.3.

4

7.3.

5 7.3

6

7.4

7.7.

35

7.5

7.7

7.8

[6.

6]

7.3

7.4

7.5.

1

7.5.

2

7.6

7.7

7.8

[]

[●[

] ]

7.7

7.8

(Tra

nsla

tion

)

154

7.7.

1 7.

3●[

]

7.7.

2 7.

4●[

]

7.8

7.8.

1

7.8.

2

7.8.

3 [

]

7.9

7.10

[

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7.10

.1

7.10

.2

]

8.

[3]

[6]

9.

9.1

9.1.

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0] [

60]

[90]

9.1.

2

390

(Tra

nsla

tion

)

155

9.1.

3 5[

7]

[9.2

[3]

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9.3

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59.

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13

45

67

89.

49.

59.

69.

710

55.

1

9.6

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3]

9.6

9.1

9.2

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3]

3

9.7

10

.

10. 1

:

(Tra

nsla

tion

)

156

2

10.2

[

]

10.3

10.4

10.5

10.6

10.7

391

(Tra

nsla

tion

)

157

10.8

10.9

6.

519

99

10.1

0

10.1

1

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(Tra

nsla

tion

)

160

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393

(Tra

nsla

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)

161

3

1. 2.go

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3.go

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tific

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ctic

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4.

5. 6.[3

0]

(Tra

nsla

tion

)

162

4

1.

1.1

2010

1.2

2010

12

6

1.3

1.1

1.2

2010

72

9

1.4

1.3

1.5

1.6

1.7

1.13

2.20

108

4

3.2

4.

394

(Tra

nsla

tion

)

163

5

1.

1.1

1.2

1.3

1.4

1.5

1.6

1

1.7

[]

2.1

3.1

24

56

Dat

aPr

oces

sor

Proc

ess

Pers

onal

Dat

aPr

oces

sing

Dat

a Sub

ject

s

4.

(Tra

nsla

tion

)

164

5.1

4

6.

1.

1.1

1998

1.2

1.3

1.4

1.5

1.6

1

1.7

[]

2.1

395

(Tra

nsla

tion

)

165

3.1

24

56

Dat

aPr

oces

sor

Proc

ess

Pers

onal

Dat

aPr

oces

sing

Dat

a Sub

ject

s

4. 5.1

4

(Tra

nsla

tion

)

166

[6

]

1

1.

1.56

1.57

1.58

1.59

1.60

1.61

1.62

1.63

1.64

1.65

1.66

2. 3.

2 –

46.

2015

47.

2015

12

4

396

(Tra

nsla

tion

)

167

48.

12

49.

3

50.

51.

52.

53.

54.

8

[3

–

[]

]

(Tra

nsla

tion

)

168

___ _

____

____

____

____

____

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397

(Tra

nsla

tion

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169

20

1●

●●

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NH

S]

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1

(D)

1.

1.1

56

[[

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] [

]

10.8

(Tra

nsla

tion

)

170

[]

[

]

[]

[[

] ]

[]

9.2

[]

[

]

1998

EU20

0020

00EU

2003

EC

398

(Tra

nsla

tion

)

171

1 4

201

3

[]

2

[]

9.2

2.14

10.8

2.1

2

(Tra

nsla

tion

)

172

1.2

1.3

1.4

1.5

1.6

1.7

1.8

1.9

1.10

2.

1994

399

(Tra

nsla

tion

)

173

2.1

[]

[]

[]

[]

89

2.2

[]

[]

2

2.3

[]

[]

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]

2.4

2.5

2.6

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73

]

2.7

[]

[]

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] [

] [

]

2.8

[]

[]

[]

[]

[]

[]

[]

2.9

[]

[]

[]

[]

[]

[]

[]

[]

2.8

[]

[]

(Tra

nsla

tion

)

174

2.10

2.11

[]

2.12

[

]

2.13

30

2.14

2.14

.1

2.14

.2

1.4

2.14

.3

10.1

2.15

[]

3.

[]

3.1

[2

] [

] [

] [

] [3

0] [

60]

[90]

1

3.2

3.3

[3

[4]

] [1

998

2013

]

400

(Tra

nsla

tion

)

175

3.4

2[]

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