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TREATIES AND OTHER INTERNATIONAL ACTS SERIES 17-1206.1
 

SCIENTIFIC AND TECHNOLOGICAL COOPERATION 

Agreement Between the 

UNITED STATES OF AMERICA 

and AUSTRALIA 

Signed at Washington November 29, 2016 

with 

Annexes 
 

 

 

NOTE BY THE DEPARTMENT OF STATE 

Pursuant to Public Law 89—497, approved July 8, 1966 

(80 Stat. 271; 1 U.S.C. 113)— 

“. . .the Treaties and Other International Acts Series issued 

under the authority of the Secretary of State shall be competent 

evidence . . . of the treaties, international agreements other than 

treaties, and proclamations by the President of such treaties and 

international agreements other than treaties, as the case may be, 

therein contained, in all the courts of law and equity and of maritime 

jurisdiction, and in all the tribunals and public offices of the 

United States, and of the several States, without any further proof 

or authentication thereof.” 
 

 

 

 

 

 

 

 

AUSTRALIA 

Scientific and Technological 

Cooperation 

Agreement signed at Washington 

November 29, 2016; 

Entered into force December 6, 2017. 

With annexes. 
AGREEMENT RELATING TO SCIENTIFIC AND TECHNICAL COOPERATION 


BETWEEN 


THE GOVERNMENT OF THE UNITED STATES OF AMERICA 


AND 


THE GOVERNMENT OF AUSTRALIA 

AGREEMENT RELATING TO SCIENTIFIC AND TECHNICAL COOPERATION 

BETWEEN 

THE GOVERNMENT OF THE UNITED STATES OF AMERICA 

AND 

THE GOVERNMENT OF AUSTRALIA 

The Government ofthe United States ofAmerica and the Government of Australia, 

hereinafter referred to as the "Parties"; 

RECALLING the purposes ofthe Agreement Relating to Scientific and Technical 

Cooperation, done at Canberra on 16 October 1968, as extended and amended; 

ACKNOWLEDGING that the Parties derive great benefits from their long and highly 

successful scientific and technological relationship; 

DESIRING to set forth a framework for the conduct ofthe overall science and 

technology relationship (which includes science and technology based innovation) 

between the Parties and to strengthen that relationship for peaceful purposes; 

RECOGNIZING the importance of advancing common scientific and technical 

knowledge for the future prosperity and wellbeing of humanity; and 

CONSIDERING the desirability, in areas of common interest, of promoting the closest 

collaboration between scientific agencies and institutions ~f both countries for the 

purpose of utilizing the results of research and development toward the economic and 

social benefits and industrial development of both countries; 

HAVE AGREED AS FOLLOWS: 

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ARTICLE I 


Definitions 


For the purposes ofthis Agreement: 

1. 	 "Cooperative activity" means any activity carried on or supported by the Parties 

pursuant to this Agreement; 

2. 	 "Information" means scientific or technical data, results, or methods of research and 

development stemming from joint research, and any other data relating to 

cooperative activities. 

3. 	 "Intellectual Property" shall mean the subject matter listed in Article 2 ofthe 

Convention Establishing the World Intellectual Property Organization, done at 

Stockholm, 14 July 1967, and may include other subject matter as agreed by the 

Parties. 

4. 	 "Joint research" means research that is implemented with financial support from one 

or both Parties and that involves collaboration by participants from both Parties. 

5. 	 "Participant" means any individual or entity, including the employees of an 

individual or entity, engaged in a cooperative activity under this Agreement. 

6. 	 "Designee" means any individual or entity, including the employees of an individual 

or entity, authorized by a Party to enter into a cooperative activity under this 

Agreement. 

ARTICLE II 


Principles 


1. 	 This Agreement establishes the framework for the overall science and technology 

relationship (which includes science and technology based innovation) between the 

Parties. 

2. 	 Subject to the applicable policies, laws, and regulations of both countries, the Parties 

shall conduct their science and technology relationship on the basis ofthe following 

principles: 

A. 	shared responsibilities, and mutual and equitable contributions and benefits, 

arising in the course of collaboration; 

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B. 	 comparable access to government-sponsored or government-supported programs 

and facilities, and comparable access to and exchange ofinformation in the field 

of scientific and technological research and development; 

C. 	 adequate and effective protection and equitable distribution of any intellectual 

property created in, or as a direct result of, collaboration, and adequate and 

effective protection ofintellectual property furnished in the course of 

collaboration; 

D. 	shared costs of collaboration, taking into account respective risks, benefits, and 

management shares; and 

E. 	 cooperation in the promotion 9fresearch and development results with the 

purpose of maximizing economic and social benefits and the industrial 

development of both countries. 

3. 	 The Parties shall, in accordance with the applicable policies, laws and regulations of 

both countries, strengthen their overall science and technology relationship through 

endeavors which may include: 

A. continuing their commitment to open research and development and international 

cooperation; 

B. 	 continuing their policies and programs of promoting the application of results of 

research and development towards achieving economic and social benefits and 

the further industrial development of both countries; 

C. 	 further encouraging and facilitating the development ofinstitutional research and 

development links; 

D. 	further encouraging and facilitating the development ofmutually beneficial 

research and development projects including collaboration on large-scale projects 

and major research and development initiatives; 

E. 	 further providing comparable opportunities for scientists, engineers, and other 

appropriate personnel from the other country to engage in research and study in 

their respective facilities and government-sponsored or government-supported 

research programs in basic and applied research areas; and 

F. other activities as may be mutually agreed. 

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ARTICLE III 


Coordination ofCooperative Activities 


1. 	 Each Party shall designate an Executive Agent responsible for the coordination and 

facilitation of cooperative activities under this Agreement. 

2. 	 The Executive Agents ofthe Parties shall discuss and review, on a regular basis, the 

implementation ofthis Agreement, matters ofimportance in the field ofscience and 

technology, and policy issues related to the overall science and technology 

relationship between the Parties. 

ARTICLE IV 


Scope 


1. 	 Under this Agreement, the Parties shall support cooperative activities for peaceful 

purposes in such-areas of science and technology as may be mutually determined. 

2. 	 The principal objects ofthis cooperation are to provide opportunities to exchange 

ideas, information, skills and techniques and to collaborate on problems and projects 

of mutual interest. The Parties shall encourage the timely application of research 

results for the economic, social and industrial benefits of both countries. 

3. 	 Implementing arrangements for cooperative activities under this Agreement may be 

negotiated and concluded between the Parties or their designees to establish the · 

specific terms of cooperation. An implementing arrangement may specify the area of 

cooperation, the agencies involved, the procedures to be followed, including 

financial arrangements, and other appropriate matters. These arrangements shall take 

into account applicable laws and regulations ofthe Party in whose jurisdiction the · 

particular cooperative activities are to be undertaken. Further,the terms ofthis 

Agreement shall apply to the implementing arrangements unless the Parties or their 

designees agree otherwise. 

4. 	 All areas ofscience and technology may be supported under this Agreement. 

Cooperative activities under this Agreement may include: 

A. 	joint research projects; 

B. 	joint task forces; 

C. 	joint studies; 

D. 	joint organization ofscientific seminars, conferences, symposia, and workshops; 

E. 	 training ofscientists and technical experts; 

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F. 	 visits and exchanges of individual scientists, engineers, and other appropriate 

personnel; 

G. 	 exchanges of information on activities, policies, practices, laws and regulations 

concerning research and development; and 

H. 	 other forms of cooperative activities as may be agreed. 

5. 	 Cooperative activities under this Agreement shall not be initiated without the prior 

mutual consent ofthe Parties, to be communicated through the Executive Agents 

designated pursuant to Article III. 

6. 	 The Parties shall encourage the participation in cooperative activities ofresearchers 

and organizations from all sectors, including universities, national laboratories, and 

the private sector. 

7. 	 The Parties may include major government-sponsored or government-supported 

research programs as part of cooperative activities. 

8. 	 In appropriate cases/ when agreed by the Parties or their designees, scientists, 

experts, agencies, or institutions ofthird countries may be encouraged to participate 

in particular cooperative activities. 

ARTICLE V 


Dissemination ofNon-proprietary Information 


Scientific and technological information of a nonproprietary nature arising from 

cooperative activities under this Agreement shall be made available, unless it is 

otherwise agreed under specific circumstances, to the world's scientific community 

through customary channels, in accordance with the laws, regulations and procedures of 

each Party and its participating agency for the particular activity. 

ARTICLE VI 


Treatment of Intellectual Property 


1. 	 The Parties shall ensure: 

A. 	 the adequate and effective protection of any intellectual property introduced into 

a cooperative activity under this Agreement; and 

B. 	 the adequate and effective protection and the allocation of intellectual property 

created in the course of, or as a direct result of, a cooperative activity under this 

Agreement. 

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2. 	 The protection and allocation of intellectual property rights and the protection of business 

confidential information are set out in Annex I, which constitutes an integral part of this 

Agreement. Annex I is applicable to all cooperative activities under this Agreement, 

except as otherwise specifically agreed by the Parties or their designees. 

3. 	 The termination of this Agreement shall not affect rights or obligations under this Article 

and Annex I. 

ARTICLE VII 


Security Obligations 


Reciprocal security obligations related to the cooperative activities under this Agreement shall 

be observed in accordance with the provisions of Annex II, which forms an integral part of 

this Agreement. 

ARTICLE VIII 


Funding 


I. 	 Activities under this Agreement shall be subject to the availability of funds and to the 

applicable policies, laws and regulations of each Party. 

2. 	 Each Party shall bear the costs of discharging its own responsibilities under particular 

projects or programs. In specific cases the costs shall be borne as agreed between the 

Parties. 

ARTICLE IX 


Entry ofPersonnel and Equipment 


Each Party shall facilitate entry to and exit from its territory of personnel, material and 

equipment ofthe other Party engaged on or used in projects, initiatives and cooperative 

activities under this Agreement, in accordance with its laws and regulations. 

ARTICLEX 


Other Agreements 


This Agreement is without prejudice to cooperation that may be undertaken pursuant to other 

Agreements between the Parties. 

ARTICLE XI 


Entry Into Force and Termination 


L 	 This Agreement shall enter into force the first day following the date on which the 

Parties have notified each other in writing, confirming the legal requirements for 
Excellency 

entry into force of the Agreement have been fulfilled. It may be amended by mutual 

written agreement between the Parties. 

2. 	 This Agreement may be terminated at any time by either Party upon six months' 

written notice. The termination ofthis Agreement shall not affect the validity or 

duration of any implementing arrangement made under it or the rights and 

obligations under Annex I to this Agreement. 

IN WITNESS WHEREOF, the undersigned, being duly authorized by their respective 

Governments, have signed this Agreement. 

Done at Washington, on November 29, 2016, in duplicate, in the English language. 

FOR THE GOVERNMENT OF THE FOR THE GOVERNMENT OF 

UNITED STA TES OF AMERICA: AUSTRALIA: 

~4~· Catherine Ann Novelli 	 H. 

Under Secretary for Economic GroWth, 'oe Hockey 

Energy, and the Environment 	 Australian Ambassador to the United 

States ofAmerica 
ANNEX I 


Intellectual Property Rights 


1. General Obligation 

The Parties shall ensure adequate and effective protection of intellectual property created 

or furnished under this Agreement and relevant implementing arrangements. Rights to 

such intellectual property shall be allocated as provided in this Annex. 

2. 	 Scope 

A. 	 This Annex is applicable to all cooperative activities undertaken pursuant to this 

Agreement, except as otherwise specifically agreed by the Parties or their 

designees. 

B. 	 For purposes ofthis Agreement, "intellectual property" shall mean the subject 

matter listed in Article 2 ofthe Convention Establishing the World Intellectual 

Property Organization, done at Stockholm, 14 July 1967 and may include other 

subject matter as agreed by the Parties. 

C. 	 Each Party shall ensure, through contracts or other legal means with its own 

participants, if necessary, that the other Party can obtain the rights to intellectual 

property allocated in accordance with this Annex. This Annex does not otherwise 

alter or prejudice the allocation between a Party and its nationals, which shall be 

determined by that Party's laws and practices. 

D. 	Except as otherwise provided in this Agreement, disputes concerning intellectual 

property arising under this Agreement shall be resolved through discussions . 

between the concerned participants or, ifnecessary, the Parties or their designees. 

Upon mutual agreement ofthe Parties, a dispute shall be submitted to an arbitral 

tribunal for binding arbitration in accordance with the applicable rules of 

international law. Unless the Parties or their designees agree otherwise in writing, 

the arbitration rules ofUNCITRAL shall govern. 

E. 	 Termination of this Agreement shall not affect rights or obligations under this 

Annex. 

3. 	 Allocation ofRights 

A. 	Each Party shall be entitled to a non-exclusive, irrevocable, royalty-free license 

in all countries to translate, reproduce, and publicly distribute scientific and 

technical journal articles, reports, and books directly arising from cooperation 

under this Agreement. All publicly distributed copies of a copyrighted work 

prepared under this provision shall indicate the names ofthe authors ofthe work 

unless an author explicitly declines to be named. 

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B. 	 Rights to all forms of intellectual property, other than those rights described in 

paragraph 3 (A) above, shall be allocated as follows: 

(1) Visiting researchers shall receive for any intellectual property they create, 

rights, awards, bonuses and royalties in accordance with the policies of the 

host institution. 

(2) (a) Unless otherwise agreed in an implementing or other arrangement, the 

Parties or their participants shall jointly develop a technology management 

plan regarding ownership and exploitation rights to intellectual property 

created in the course ofthe cooperative activities other than those covered by 

3 (B) (1). The technology management plan shall consider the relative 

contributions ofthe Parties and their participants to the cooperative activities, 

the degree of commitment in obtaining legal protection and licensing ofthe 

intellectual property, and such other factors as are deemed appropriate. 

(b) Ifthe Parties or their participants do not agree on a technology 

management plan under subparagraph (a) within a reasonable time, not to 

exceed six months from the time a Party becomes aware ofthe creation of 

intellectual property created in the course ofthe cooperative activities, the 

Parties or their participants shall resolve the matter in accordance with the 

provisions of paragraph 2 (D). Pending resolution ofthe matter, any 

intellectual property created by persons employed or sponsored by one Party 

under cooperative activities shall be owned by that Party and intellectual 

property created by persons employed or sponsored by both Parties shall be 

jointly owned by the Parties, but such intellectual property shall be 

commercially exploited only by mutual agreement. 

(c) Notwithstanding paragraphs 3 B (2) (a) and (b) above, if either Party 

believes that a particular project may lead to or has led to the creation of 

intellectual property not protected by the laws ofthe other Party, the Parties 

shall immediately hold discussions to determine the allocation of rights to the 

intellectual property. If an agreement cannot be reached within three months 

ofthe date ofthe initiation ofthe discussions, cooperation on the project in 

question shall be terminated at the request of either Party. Creators of 

intellectual property shall nonetheless be entitled to awards, bonuses and 

royalties in accordance with the policies of the institution employing or 

sponsoring that person. 

(d) For each invention made under any cooperative activity, the Party 

employing or sponsoring the inventor(s) shall disclose the invention promptly 

to the other Party together with any documentation and information necessary 

to enable the other Party to establish any rights to which it may be entitled. 

Either Party may ask the other Party in writing to delay publication or public 

disclosure of such documentation or information for the purpose ofprotecting 

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its rights in the invention. Unless otherwise agreed in writing, the delay shall 

not exceed a period ofsix months from the date of disclosure by the 

inventing Party to the other Party. 

4. Business Confidential Information 

In the event that information identified in a timely fashion as business-confidential is 

furnished or created under this Agreement, each Party and its participants shall protect 

such ·information in accordance with applicable laws, regulations, and administrative 

practices. Information may be identified as "business-confidential" if a person having the 

information may derive an economic benefit from it or may obtain a competitive 

advantage over those who do not have it, and the information is not generally known or 

publicly available from other sources, and the owner has not previously made the 

information available without imposing in a timely manner an obligation to keep it 

confidential. 

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ANNEX II 


SECURITY OBLIGATIONS 


1. Protection of Information 

Both Parties agree that no information or equipment requiring protection in the interests 

of national defense or foreign relations of either Party and classified in accordance with 

applicable national laws and regulations shall be provided under this Agreement. In the 

event that information or equipment that is known or believed to require such protection 

is identified in the course of cooperative activities undertaken pursuant to this 

Agreement, it shall be brought immediately to the attention ofthe appropriate officials 

and the Parties shall consult concerning the need for and level of appropriate protection 

to be accorded such information or equipment. 

2. Technology Transfer 

The transfer of export-controlled information and equipment between the Parties under 

this Agreement shall be in accordance with the relevant laws and regulations of each 

Party to prevent the unauthorized transfer or re-transfer ofsuch information and 

equipment provided or produced under this Agreement. Ifeither Party deems necessary, 

detailed provisions for the prevention of unauthorized transfer or .retransfer ofsuch 

information or equipment shall be incorporated into the contracts or implementing 

arrangements under this Agreement. 

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