[pic] | COMMISSION OF THE EUROPEAN COMMUNITIES |

Brussels, 9.10.2007

COM(2007) 576 final

2007/0207(CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion of an Agreement renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India

(presented by the Commission)

EXPLANATORY MEMORANDUM

1. The Agreement on cooperation in science and technology between the European Community and the Government of the Republic of India was signed in New Delhi on 23 November 2001 and entered into force on 14 October 2002. Article 11(b) of the Agreement provides as follows: "This Agreement shall be concluded for an initial period of five years and may be renewed by mutual agreement between the Parties after evaluation during the last year of each successive period".

2. At the EC-India S&T Steering Committee meeting of 15 and 16 November 2006, both Parties expressed their interest in renewing the Agreement. For the Community this intention to renew is in line with the positive impact assessment of the Agreement which was carried out by an independent expert in October 2006, in which one of the key recommendations was to renew the Agreement.

3. Rapid renewal for five more years would be in the interest of both Parties so as to maintain continuity in the scientific and technological relations between India and the European Community. This was confirmed in the conclusions of the last EU-India Summit held in Helsinki in October 2006.

4. Since the material content of the renewed Agreement will be identical to the material content of the current Agreement, which expires on 14 October 2007, following the normal procedures for negotiating this renewal (Article 300(1) of the EC Treaty) would serve no useful purpose. Given the resulting advantages, for both Parties, of rapid renewal, a one-step procedure is suggested (a single procedure and a single act concerning signature and conclusion).

5. In the light of the above considerations, the Commission requests the Council:

- to approve, on behalf of the Community, after consulting the European Parliament, the conclusion of an Agreement aimed at renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India;

- to authorise the President of the Council to designate the person empowered to sign the Agreement in order to express the consent of the Community to be bound thereby.

- 2007/0207 (CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion of an Agreement renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular the second paragraph of Article 170, in conjunction with the first sentence of the first subparagraph of Article 300(2), and the first subparagraph of Article 300(3),

Having regard to the proposal from the Commission[1],

Having regard to the opinion of the European Parliament[2],

Whereas:

(1) By its Decision of 25 June, 2002[3], the Council approved the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India.

(2) Article 11(b) of the Agreement provides as follows: 'This Agreement shall be concluded for an initial period of five years and may be renewed by mutual agreement between the Parties after evaluation during the last year of each successive period.'.

(3) At the EC-India S&T Steering Committee meeting held in Brussels on 15 and 16 November 2006, both Parties expressed their agreement for the renewal of the abovementioned Agreement for five more years. The Parties to the Agreement consider that rapid renewal of this Agreement would be in their mutual interest.

(4) The material content of the renewed Agreement will be identical to the material content of the Agreement which expires on 14 October, 2007.

(5) The Agreement aimed at renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India should be approved on behalf of the Community,

HAS DECIDED AS FOLLOWS:

Article 1

The Agreement aimed at renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India for an additional period of five years is hereby approved on behalf of the Community.

The text of the Agreement is attached to this Decision.

Article 2

The President of the Council is hereby authorised to designate the person empowered to sign the Agreement in order to express the consent of the Community to be bound thereby.

Article 3

The decision shall be published in the Official Journal.

Done at Brussels,

For the Council

The President

ANNEX

AGREEMENT

Renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India

THE EUROPEAN COMMUNITY, hereinafter referred to as ‘the Community’,

of the one part, and

THE GOVERNMENT OF THE REPUBLIC OF INDIA, hereinafter referred to as ‘India’,

of the other part,

hereinafter referred to as the ‘Parties’,

CONSIDERING the importance of science and technology for their economic and social development,

RECOGNISING that the Community and India are pursuing common research and technological objectives in a number of areas of common interest, and that mutual benefits may be derived if the Parties facilitate cooperation,

NOTING that there has been active cooperation and information exchange in a number of scientific and technological areas under the Cooperation Agreement between the Community and India on Partnership and Development signed on 20 December 1993,

CONSIDERING the EU-India Summit conclusions in Helsinki in October 2006, stating: "The leaders look forward to the renewal of the EU-India S&T agreement in 2007",

DESIRING to expand the cooperation in scientific and technological research with a view to strengthening the conduct of cooperative activities in areas of common interest and to encouraging the application of the results of such cooperation to their economic and social benefit,

HAVE AGREED AS FOLLOWS:

Article 1

Purpose

The Parties shall encourage and facilitate cooperative research and development activities in science and technology fields of common interest between the Community and India.

Article 2

Definitions

For the purpose of this Agreement:

(a) ‘cooperative activity’ means any activity which the Parties undertake or support, pursuant to this Agreement, and includes joint research;

(b) 'information’ means scientific or technical data, results or methods of research and development stemming from joint research carried out under this Agreement and any other data deemed necessary by the participants to cooperative activities, including, as necessary, by the Parties themselves;

(c) ‘intellectual property’ shall have the meaning defined in Article 2 of the Convention establishing the World Intellectual Property Organisation, done at Stockholm, 14 July 1967;

(d) ‘joint research’ means a research, technological development or demonstration project that is implemented with financial support from one or both Parties and that involves collaboration between participants from both the Community and India and is designated as joint research in writing by the Parties or the Executive Agents. Where there is funding by only one Party, the designation shall be made by that Party and the participant in that project;

(e) ‘participant’ or ‘research entities’ means any person, any academic institution, research institute or any other legal entity or undertaking or firm established in the Community or in India involved in cooperative activities including the Parties themselves.

Article 3

Principles

Cooperation shall be conducted on the basis of the following principles:

(a) Partnership for balanced mutual benefits

(b) reciprocal access to the activities of research and technological development undertaken by each Party;

(c) timely exchange of information which may affect cooperative activities;

(d) appropriate protection of intellectual property rights.

Article 4

Scope of cooperation

Cooperation under this Agreement may cover all the activities of research, technological development and demonstration, hereinafter referred to as ‘RTD’, included in the framework programme under Article 164 of the Treaty establishing the European Community and all similar RTD activities in India in the corresponding scientific and technological fields.

This Agreement does not affect the participation of India in other Community activities.

Article 5

Forms of cooperation

Cooperative activities may take the following forms:

- participation of Indian research entities in RTD projects under the framework programme and reciprocal participation of research entities established in the Community in Indian projects in similar sectors of RTD. Such participation is subject to the rules and procedures applicable in each Party,

- joint RTD Projects; the joint RTD projects shall be implemented when the participants have developed a technology management plan (concerning dissemination and use of, as well as access rights to knowledge), as indicated in the Annex,

- pooling of RTD projects already implemented according to the procedures applicable in the RTD programmes of each Party,

- visits and exchanges of scientists and technical experts,

- joint organisation of scientific seminars, conferences, symposia and workshops, as well as participation of experts in those activities,

- concerted actions for dissemination of results/exchange of experience on joint RTD projects that have been funded,

- exchanges and sharing of equipment and materials including shared use of advanced research facilities,

- exchanges of information on practices, laws, regulations and programmes relevant to cooperation under this Agreement,

- any other form recommended by the Steering Committee and deemed in conformity with the policies and procedures applicable in both Parties.

Article 6

Coordination and facilitation of cooperative activities

(a) The coordination and facilitation of cooperative activities under this Agreement shall be accomplished, on behalf of India, by the Ministry of Science and Technology (Department of Science and Technology) and, on behalf of the Community, by the services of the Commission of the European Communities, acting as executive agents.

(b) The executive agents shall establish a Steering Committee on S&T Cooperation, hereinafter referred to as the ‘Steering Committee’ for the management of this Agreement; this Committee shall consist of an equal number of official representatives of each Party and shall have Co-Chairpersons from the Parties; it shall establish its own rules of procedure.

(c) The functions of the Steering Committee shall include:

(i) promoting and overseeing the different cooperative activities as mentioned in Article 4 as well as those that would be implemented in the framework of other Community activities not covered by the framework programme, but which could affect and enhance the cooperation under this agreement;

(ii) facilitating the development of joint RTD projects, to be sponsored on a cost-sharing basis by the Parties, received in response to an approved Joint Call for Proposal text issued simultaneously by the Executive Agents. The joint projects will be selected by each Party according to the respective selection process of each Party with possible participation of the experts from both sides;

(iii) indicating, for the following year, pursuant to the first and second indents of Article 5, among the potential sectors for RTD cooperation, those priority sectors or subsectors of mutual interest in which cooperation is sought;

(iv) proposing, pursuant to the third indent of Article 5, to the participants of both Parties the pooling of their projects which would be of mutual benefit and complementary;

(v) making recommendations pursuant to the fourth to eighth indents of Article 5;

(vi) advising the Parties on ways to enhance and improve cooperation consistent with the principles set out in this Agreement;

(vii) reviewing the efficient functioning and implementation of this Agreement, including the activities there under;

(viii) annually providing a report to the Parties on the status, the level reached and the effectiveness of cooperation undertaken under this Agreement. This report will be transmitted to the Joint Commission established in the framework of the Cooperation Agreement between the European Community and India on Partnership and Development.

(d) The Steering Committee shall, as a general rule, meet annually, preferably before the meeting of the Joint Commission established in the framework of the Cooperation Agreement between the European Community and India on Partnership and Development, and according to a jointly agreed schedule; the meetings should be held alternatively in the Community and in India. Extraordinary meetings may be organised at the request of either Party.

(e) Decisions of the Steering Committee shall be reached by consensus. Minutes, comprising of a record of decisions and principal points discussed, shall be taken at each meeting. These minutes shall be agreed upon by the designated Co-Chairpersons of the Steering Committee.

(f) For the Steering Committee Meeting, the travel and accommodation expenses of the participants shall be borne by the Parties to whom they relate. Any other cost associated with the Steering Committee Meeting shall be borne by the host Party.

Article 7

Funding

(a) Cooperative activities shall be subject to the availability of appropriate funds and to the laws and regulations (including those on tax and customs exemption) applicable in the territories of each Party and in accordance with policies and programmes of the Parties.

(b) Costs incurred on selected cooperative activities shall be shared by the participants without any transfer of funds from one Party to the other.

(c) An implementing arrangement would specify in greater details the precise administrative and financial modalities for cooperative activities

(d) RTD projects, involving India, sponsored under Community activities not covered by the framework programme shall be excluded from the provisions specified under (b) and (c).

Article 8

Entry of personnel and equipment

Each Party shall take all reasonable steps and use its best efforts, within the laws and regulations applicable in the territories of each Party, to facilitate entry to, sojourn in, and exit from its territory of persons and equipment involved in or used in cooperative activities identified by the Parties under the provisions of this Agreement.

Article 9

Dissemination and utilisation of information

The dissemination and utilisation of information, and the management, allocation and exercise of intellectual property rights resulting from joint research under this Agreement shall be subject to the requirements of the Annex. This Annex shall be an integral part of this Agreement.

Article 10

Territorial application

This Agreement shall apply, on the one hand to the territories in which the Treaty establishing the European Community is applied and under the conditions laid down in that Treaty, and on the other hand, to the territory of India. This shall not prevent the conduct of cooperative activities on the high seas, outer space, or the territory of third countries, in accordance with international law.

Article 11

Entry into force, termination and dispute settlement

(a) This Agreement shall enter into force on the date on which the Parties have notified each other in writing that their respective internal procedures necessary for its entry into force have been completed.

(b) This Agreement shall be concluded for a period of five years and may be renewed by mutual agreement between the Parties after evaluation during the last year of the aforementioned period.

(c) This Agreement may be amended by agreement of the Parties. Amendments shall enter into force on the date on which the Parties have notified each other in writing that their respective internal procedures necessary for amending this Agreement have been completed.

(d) This Agreement may be terminated at any time by either Party upon six months' written notice. The expiration or termination of this Agreement shall not affect the validity or duration of any arrangements made under it, or any specific rights and obligations that have accrued in compliance with the Annex.

(e) All questions or disputes related to the interpretation or implementation of this Agreement shall be settled by mutual agreement between the Parties.

Article 12

This Agreement is drawn up in duplicate in the Bulgarian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish, Swedish and Hindi languages, each of these texts being equally authentic.

In witness whereof, the undersigned, being duly authorised thereto, have signed this Agreement.

ANNEX

INTELLECTUAL PROPERTY RIGHTS

Rights to intellectual property created of furnished under the Agreement shall be allocated as provided in this Annex.

APPLICATION

This Annex is applicable to joint research undertaken pursuant to the Agreement, except as otherwise agreed by the Parties.

I. Ownership, allocation and exercise of rights

1. For purpose of this Annex ‘intellectual property’ is defined in Article 2(c) of the Agreement.

2. This Annex addresses the allocation of rights and interests of the Parties and their participants. Each Party and its participants shall ensure that the other Party and its participants may obtain the rights to intellectual property allocated to it in accordance with this Annex. This Annex does not otherwise alter or prejudice the allocation of rights, interests and royalties between a Party and its nationals or participants, and the rules of diffusion and utilisation of information, which will be determined by the laws and practices of each Party.

3. The Parties will also be guided by, and contractual arrangements should provide for, the following principles:

(a) effective protection of intellectual property. The Parties shall ensure that they and/or their participants notify one another within a reasonable time of the creation of any intellectual property arising under the Agreement or implementation arrangements and to seek protection for such intellectual property in a timely fashion;

(b) effective exploitation of results, taking into account the contributions of the Parties and their participants;

(c) non-discriminatory treatment of participants from the other Party as compared with the treatment given to its own participants, with regard to ownership, utilisation and dissemination of information and ownership, allocation and exercise of intellectual property rights;

(d) protection of business-confidential information.

4. The participants shall jointly develop a Technology Management Plan (TMP). The TMP is a specific agreement to be concluded between the participants in joint research defining their respective rights and obligations, including those in respect of the ownership and use, including publication, of information and intellectual property to be created in the course of joint research. With respect to intellectual property (IP), the TMP will normally address, among other things, ownership, protection, user rights for research and development purposes, exploitation and dissemination, including arrangements for joint publication, the rights and obligations of visiting researchers and dispute settlement procedures. The TMP shall also address foreground and background information, licensing and deliverables. The TMP shall be developed within the rules and regulations in force in each Party taking into account the aims of the joint research, the relative financial or other contributions of the Parties and participants, the advantages and disadvantages of licensing by territory or for fields of use, requirements imposed by applicable laws, the need for dispute settlement procedures and other factors deemed appropriate by the participants. The rights and obligations concerning the research generated by visiting researchers (i.e. researchers not coming from a Party or a participant) in respect of IP shall also be addressed in the joint technology management plans. The TMP shall be approved by the responsible funding agency, or department of the Party involved in financing the research, before the conclusion of the specific research and development cooperation contracts to which they are attached.

5. Information or intellectual property created in the course of joint research and not addressed in a TMP will be allocated according to the principles set out in the TMP. In the event of a disagreement which cannot be resolved by the agreed dispute settlement procedure, such information or IP shall be owned jointly by all the participants involved in the joint research from which the information or IP results. Each participant to whom this provision applies shall have the right to use such information or IP for his own commercial exploitation with no geographical limitation.

6. In accordance with applicable laws, each Party will ensure that the other Party and its participants may have the rights to IP allocated to them.

7. While maintaining the condition of competition in areas affected by the Agreement, each Party shall endeavour to ensure that rights acquired pursuant to the Agreement, and arrangements made under it, are exercised in such a way as to encourage, in particular

(i) the dissemination and use of information created, disclosed or otherwise made available, under the Agreement, and

(ii) the adoption and implementation of international standards.

8. Termination or expiry of the Agreement will not affect rights or obligations of participants with regard to intellectual property under approved on-going projects in accordance with this Annex.

II. Copyright works and scientific literary works

Copyright belonging to the Parties or to their participants shall be accorded treatment consistent with the Berne Convention (Paris Act 1971) and the TRIPS Agreement. Without prejudice to Section III, and unless otherwise agreed in the TMP, results of research shall be published jointly by the Parties or participants. Subject to the foregoing general rule, the following procedures shall apply:

1. In the case of publication by a Party or public bodies of that Party of scientific and technical journals, articles, reports, books, including video and software arising from joint research pursuant to the Agreement, the other Party will be entitled to a worldwide, non-exclusive, irrevocable, royalty-free license to translate, reproduce, adapt, transmit and publicly distribute such works.

2. The Parties shall endeavour to disseminate literary works of a scientific character arising from joint research pursuant to the Agreement and published by independent publishers as widely as possible.

3. All copies of a copyright work to be publicly distributed and prepared under this provision shall indicate the names of the author(s) of the work unless an author explicitly declines to be named. Copies shall also bear a clearly visible acknowledgement of the cooperative support of the Parties.

III. Undisclosed information

A. Documentary undisclosed information

1. Each Party, its agencies or its participants, as appropriate, shall identify at the earliest possible moment, and preferably in the TMP, the information that they wish to remain undisclosed in relation to the Agreement, taking into account inter alia the following criteria:

1. secrecy of the information in the sense that it is not, as a body or in the precise configuration or assembly of its components, generally known among, or readily accessible by lawful means to, experts in the fields;

2. the actual or potential commercial value of the information by virtue of its secrecy;

3. previous protection of the information in the sense that it has been subject to steps that were reasonable under the circumstances by the person lawfully in control, to maintain its secrecy. The Parties and their participants may in certain cases agree that, unless otherwise indicated, parts or all of the information provided, exchanged or created in the course of joint research pursuant to the Agreement may not be disclosed.

2. Each Party shall ensure that it and its participants clearly identify undisclosed information, for example by means of an appropriate marking or restrictive legend. This also applies to any reproduction of the said information, in whole or in part. A Party receiving undisclosed information pursuant to the Agreement will respect the privileged nature thereof. These limitations shall automatically terminate when this information is disclosed by the owner into the public domain.

3. Undisclosed information communicated under this Agreement may be disseminated by the receiving Party to persons within or employed by the receiving Party and other concerned departments or agencies of the receiving Party authorised for the specific purposes of the joint research under way, provided that any undisclosed information so disseminated shall be pursuant to a written agreement of confidentiality and shall be readily recognisable as such, as set out above.

4. With the prior written consent of the Party providing undisclosed information under this Agreement, the receiving Party may disseminate such undisclosed information more widely than otherwise permitted in paragraph 3. The Parties shall cooperate in developing procedures for requesting and obtaining prior written consent for such wider dissemination, and each Party will grant such approval to the extent permitted by its domestic policies, regulations and laws.

B. Non-documentary undisclosed information

Non-documentary undisclosed or other confidential information provided in seminars and other meetings arranged under this Agreement, or information arising from the attachment of staff, use of facilities, or joint projects, shall be treated by the Parties or their participants according to the principles specified for documentary information in the Agreement; provided, however, that the recipient of such undisclosed or other confidential or privileged information has been made aware in advance and in written form of the confidential character of the information to be communicated.

C. Control

Each Party shall endeavour to ensure that undisclosed information received by it under this Agreement is controlled as provided herein. If one of the Parties becomes aware that it will be, or may be reasonably expected to become, unable to meet the non-dissemination provisions of sections A and B, it shall immediately inform the other Party. The Parties will thereafter consult to define an appropriate course of action.

LEGISLATIVE FINANCIAL STATEMENT

1. NAME OF THE PROPOSAL :

Proposal for a Council Decision concerning the conclusion of an Agreement renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India

2. ABM / ABB FRAMEWORK

Policy Area(s) concerned and associated Activity/Activities:

Policy strategy and coordination of, in particular, the Directorates-General RTD, JRC, ENTR, INFSO and TREN.

3. BUDGET LINES

3.1. Budget lines (operational lines and related technical and administrative assistance lines (ex- B.A lines)) including headings :

Costs in connection with the implementation of the Agreement (workshops, seminars, meetings, etc.) will be charged to the administrative budget lines for the specific programmes of the Framework programme of the European Community (xx.01.05.03).

3.2. Duration of the action and of the financial impact:

Duration of five years, to be renewed by mutual agreement between the Parties, as laid down in Article 11 of the Agreement.

3.3. Budgetary characteristics :

Budget line | Type of expenditure | New | EFTA contribution | Contributions from applicant countries | Heading in financial perspective |

xx 01.05.03 | Non-comp | Non-diff[4] | NO | YES | YES | No [3] |

4. SUMMARY OF RESOURCES

4.1. Financial Resources

4.1.1. Summary of commitment appropriations (CA) and payment appropriations (PA)

EUR million (to 3 decimal places)

Expenditure type | Section no. | 2007 | 2008 | 2009 | 2010 | 2011 | - | Total |

Operational expenditure[5] |

Commitment Appropriations (CA) | 8.1 | a | 0 | 0 |

Payment Appropriations (PA) | b | 0 | 0 |

Administrative expenditure within reference amount[6] |

Technical & administrative assistance (NDA) | 8.2.4 | c | 0.110 | 0.110 | 0.110 | 0.110 | 0.110 | - | 0.550 |

TOTAL REFERENCE AMOUNT |

Commitment Appropriations | a+c | 0.110 | 0.110 | 0.110 | 0.110 | 0.110 | - | 0.550 |

Payment Appropriations | b+c | 0.110 | 0.110 | 0.110 | 0.110 | 0.110 | - | 0.550 |

Administrative expenditure not included in reference amount[7] |

Human resources and associated expenditure (NDA) | 8.2.5 | d | 0.0585 | 0.0585 | 0.0585 | 0.0585 | 0.0585 | - | 0.2925 |

Administrative costs, other than human resources and associated costs, not included in reference amount (NDA) | 8.2.6 | e |

Total indicative financial cost of intervention

TOTAL CA including cost of Human Resources | a+c+d+e | 0.1685 | 0.1685 | 0.1685 | 0.1685 | 0.1685 | - | 0.8425 |

TOTAL PA including cost of Human Resources | b+c+d+e | 0.1685 | 0.1685 | 0.1685 | 0.1685 | 0.1685 | - | 0.8425 |

Co-financing details

If the proposal involves co-financing by Member States, or other bodies (please specify which), an estimate of the level of this co-financing should be indicated in the table below (additional lines may be added if different bodies are foreseen for the provision of the co-financing):

EUR million (to 3 decimal places)

Co-financing body | Year | N+1 | N+2 | N+3 | N+4 | N+5 and later | Total |

…………………… | f |

TOTAL CA including co-financing | a+c+d+e+f |

4.1.2. Compatibility with Financial Programming

x Proposal is compatible with existing financial programming.

( Proposal will entail reprogramming of the relevant heading in the financial perspective.

( Proposal may require application of the provisions of the Interinstitutional Agreement[8] (i.e. flexibility instrument or revision of the financial perspective).

4.1.3. Financial impact on Revenue

x Proposal has no financial implications on revenue

( Proposal has financial impact – the effect on revenue is as follows:

EUR million (to one decimal place)

Prior to action [Year n-1] | Situation following action |

Total number of human resources | 0.5 | 0.5 | 0.5 | 0.5 | 0.5 |

5. CHARACTERISTICS AND OBJECTIVES

5.1. Need to be met in the short or long term

This decision will allow both Parties to continue, upgrade and intensify their cooperation in areas of common scientific and technological interest.

5.2. Value-added of Community involvement and coherence of the proposal with other financial instruments and possible synergy

This Agreement is based on the principles of mutual benefit, reciprocal opportunities for cooperation activities such as joint or coordinated calls for joint projects, access to each other's programmes and activities relevant for the purpose of the Agreement and the effective protection of intellectual property and equitable sharing of intellectual property rights. The proposal also provides for missions by EU experts and officials, and for workshops, seminars and meetings to be organised in the European Community and in India. The cooperative activities in the field of science and technology under this agreement are complementary to and in support of other Community activities vis à vis India.

5.3. Objectives, expected results and related indicators of the proposal in the context of the ABM framework

This decision should allow both India and the European Community to derive mutual benefit from the scientific and technical progress achieved through their specific research programmes. It will allow an exchange of specific knowledge and a transfer of know-how to the benefit of the scientific community, industry and citizens.

5.4. Method of Implementation (indicative)

Centralised Management

x Directly by the Commission

Indirectly by delegation to:

Executive Agencies

ٱBodies set up by the Communities as referred to in art. 185 of the Financial Regulation

ٱNational public-sector bodies/bodies with public-service mission

ٱ Shared or decentralised management

ٱ With Member states

ٱ With Third countries

Joint management with international organisations (please specify)

Relevant comments:

6. MONITORING AND EVALUATION

6.1. Monitoring system

The Commission departments will regularly evaluate all the actions carried out under the cooperation agreement, which will also be subject to a joint regular evaluation by the Community and India. This evaluation will cover:

(a) Performance indicators

- number of missions and meetings;

- number of different fields of cooperation activities.

(b) gathering of information:

Based on information from the specific programmes of the Framework Programme and information provided by India to the Joint Steering Committee provided for by the Agreement.

(c) The Commission will evaluate the actions covered by this participation before the end of the five year implementation period.

6.2. Evaluation

6.2.1. Ex-ante evaluation

The Commission will evaluate the actions covered by this cooperation agreement before the end of the five year implementation period.

6.2.2. Measures taken following an intermediate/ex-post evaluation (lessons learned from similar experiences in the past)

For the Community the positive decision to renew the agreement was based on an impact assessment report of the agreement by an independent expert.

6.2.3. Terms and frequency of future evaluation

The parties to the Agreement will evaluate the application thereof annually in the meetings of the Joint Steering Committee referred to in Article 6 thereof. Renewal of this agreement will be submitted for assessment by each of the Parties, which will include an impact study entrusted to independent experts.

7. ANTI-FRAUD MEASURES

When the implementation of the framework programme calls for the use of external contractors or implies granting financial contributions to third parties, the Commission will carry out, where appropriate, financial audits, in particular if it has reason to doubt the realistic nature of work performed or described in the activity reports.

The Community's financial audits will be carried out either by its own staff or by accounting experts approved according to the law of the audited party. The Community will choose the latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by the party subject to the audit.

In addition, in carrying out the research activities, the Commission will ensure that the financial interests of the European Communities are protected by effective checks and, where irregularities are detected, by proportionate and dissuasive measures and penalties.

In order to achieve this aim, rules on checks, measures and penalties, with references to Regulations No 2988/95, 2185/96, 1073/99 and 1074/99 will be set out in all contracts used in the implementation of the framework programme.

In particular, the following points will have to be provided for in the contracts:

- the introduction of specific contractual clauses to protect the financial interests of the EC in carrying out checks and controls in relation to the work performed;

- the carrying out of administrative checks as part of anti-fraud measures, in accordance with Regulations No 2185/96, No 1073/1999 and No 1074/1999;

- the application of administrative penalties for all intentional or negligent irregularities in the implementation of the contracts, in accordance with the framework Regulation No 2988/95, including a blacklisting mechanism;

- the fact that possible recovery orders in case of irregularities and fraud be enforceable according to Article 256 of the EC Treaty.

In addition and as routine measures, an internal audit and control programme in respect of scientific and budgetary aspects will be carried out by the DG Research staff responsible; an internal audit will be carried out by the Internal audit Unit of DG Research; and local inspections will be undertaken by the Court of Auditors of the European Union.

8. DETAILS OF RESOURCES

8.1. Objectives of the proposal in terms of their financial cost

Commitment appropriations in EUR million (to 3 decimal places)

2007 | 2008 | 2009 | 2010 | 2011 | - |

Officials or temporary staff[11] (XX 01 01) | A*/AD | 0,5 | 0,5 | 0,5 | 0,5 | 0,5 | - |

B*, C*/AST |

Staff financed[12] by art. XX 01 02 |

Other staff[13] financed by art. XX 01 04/05 |

TOTAL | 0,5 | 0,5 | 0,5 | 0,5 | 0,5 | - |

8.2.2. Description of tasks deriving from the action

Management of the Agreement will entail missions and attending meetings by EU and Indian experts and officials.

8.2.3. Sources of human resources (statutory)

x Posts currently allocated to the management of the programme to be replaced or extended

( Posts pre-allocated within the APS/PDB exercise for year n

( Posts to be requested in the next APS/PDB procedure

( Posts to be redeployed using existing resources within the managing service (internal redeployment)

( Posts required for year n although not foreseen in the APS/PDB exercise of the year in question

8.2.4. Other Administrative expenditure included in reference amount (XX 01 04/05 – Expenditure on administrative management)

EUR million (to 3 decimal places)

Budget line (number and heading) | 2007 | 2008 | 2009 | 2010 | 2011 | - | TOTAL |

Other technical and administrative assistance | 0.110 | 0.110 | 0.110 | 0.110 | 0.110 | - | 0.550 |

-intra muros |

-extra muros |

Total Technical and administrative assistance | 0.110 | 0.110 | 0.110 | 0.110 | 0.110 | - | 0.550 |

For the organisation of workshops, conferences and seminars to promote information exchange and enhance scientific cooperation between India and the EC.

8.2.5. Financial cost of human resources and associated costs not included in the reference amount

EUR million (to 3 decimal places)

Type of human resources | 2007 | 2008 | 2009 | 2010 | 2011 | Total |

Officials and temporary staff (XX 01 01) | 0.0585 | 0.0585 | 0.0585 | 0.0585 | 0.0585 | 0.2925 |

Staff financed by Art XX 01 02 (auxiliary, END, contract staff, etc.) (specify budget line) |

Total cost of Human Resources and associated costs (NOT in reference amount) | 0.0585 | 0.0585 | 0.0585 | 0.0585 | 0.0585 | 0.2925 |

Calculation– Officials and Temporary agents

Amount given on the basis of the annual cost of an official (all categories included) i.e.:

1 17 000 euro/2 =58.500

Calculation– Staff financed under art. XX 01 02

8.2.6. Other administrative expenditure not included in reference amount EUR million (to 3 decimal places) |

2007 | 2008 | 2009 | 2010 | 2011 | - | TOTAL |

XX 01 02 11 01 – Missions |

XX 01 02 11 02 – Meetings & Conferences |

XX 01 02 11 03 – Committees[15] |

XX 01 02 11 04 – Studies & consultations |

XX 01 02 11 05 - Information systems |

2.Total Other Management Expenditure (XX 01 02 11) |

3 Other expenditure of an administrative nature (specify including reference to budget line) |

Total Administrative expenditure, other than human resources and associated costs (NOT included in reference amount) |

Calculation - Other administrative expenditure not included in reference amount

[1] OJ C […], […], p. […]

[2] OJ C […], […], p. […]

[3] OJ L213,p.29 of 9/08/2002

[4] Non-differentiated appropriations hereafter referred to as NDA

[5] Expenditure that does not fall under Chapter xx 01 of the Title xx concerned.

[6] Expenditure within article xx 01 04 of Title xx.

[7] Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05.

[8] See points 19 and 24 of the Interinstitutional agreement.

[9] Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years

[10] As described under Section 5.3

[11] Cost of which is NOT covered by the reference amount

[12] Cost of which is NOT covered by the reference amount

[13] Cost of which is included within the reference amount

[14] Reference should be made to the specific legislative financial statement for the Executive Agency(ies) concerned.

[15] Specify the type of committee and the group to which it belongs.