COMMISSION OF THE EUROPEAN CCSVIVnJNITIES 
C0M(93) 269 final - SYN 461 
Brussels, 10 June 1993 
Proposal for a 
COUNCIL DECISION 
concerning the conclusion of an Agreement relating to scientific and technical 
So^on between the European Economic Community and Austraha 
(presented by the Commission) 
EXPLANATORY MEMORANDUM 
1. Scientific and technological contacts between the European Communities and 
Australia have been based so far on an arrangement signed in November 1986 
between the Commission and the Australian Government. This arrangement aims 
at initiating cooperation through the exchange of non-confidential information arising 
from research in Austraha and the European Community in a number of areas. 
Both sides considered it as a starting point to explore more structured and concrete 
cooperation. 
2. During the Ministerial Consultations of May 1988 the two sides came to the 
conclusion that more concrete scientific and technical cooperation would require the 
conclusion of an agreement between the European Economic Community and the 
Government of Australia. 
3. On June 1989 the Commission transmitted to Council a Recommendation for a 
Decision authorizing it to negotiate a framework agreement for S&T cooperation 
with Australia (SEC(89)783 of 24 May 1989). This initiative was jointly taken by 
Vice-Presidents Pandolfi and Andriessen. At the request of several Members States 
further discussion was postponed while waiting for a Commission document on 
cooperation in science and technology with third countries. That document was 
transmitted to Council on 25 June 1990 (COM(90)256). Council drew its conclusions 
during its meeting of 20 November 1990. 
4. In the light of these conclusions and as a result of further contacts with Australia's 
scientific community and simultaneous progress on establishing guiding principles on 
the allocation of intellectual property rights within S&T cooperation agreements with 
third countries, the Commission submitted on 13 January 1992 a Recommendation 
for a Council Decision authorizing it to negotiate an agreement for scientific and 
technical cooperation with Australia. Council took its Decision on 21 May 1992. 
3 
5. On this basis negotiations took place with the Australian Government which resulted 
in the attached draft agreement, including its annex on the dissemination and 
utilization of information and management, allocation and exercise of intellectual 
property rights. 
It is the first time that a cooperation agreement of this kind has been negotiated 
between the European Community and an industrialized third country outside 
Europe. It is also the first time that the afore-mentioned annex relating to the 
dissemination and utilization of information and intellectual property rights was put 
to a test in negotiations concerning a scientific and technical cooperation agreement 
with a third country. This follows the adoption on 26 June 1992 of a "Joint 
declaration of the Council and the Commission in respect of the Intellectual Property 
aspects of scientific and technological cooperation agreements between the 
Community and third countries". 
6. The draft Agreement, which is annexed to the attached proposal for a Council 
decision, provides for: 
- the participation of persons and legal entities, research institutes, and other 
bodies, including the Parties themselves, in research projects conducted by 
Australia or the Community in a restricted number of research areas; 
- the shared use of research facilities in pursuit of cooperation on research projects; 
- visits and exchanges of scientists, engineers and other appropriate personnel; 
- the exchange of information; 
- other activities as may be jointly determined by a Joint Cooperation Committee 
in accordance with the applicable policies and programmes of the Parties; 
- the endorsement by the Parties of Technology Management Plans as a condition 
for research projects to proceed, as described in the Annex to the draft 
Agreement; 
- cooperative activities to be subject to the availability of funds and to the 
applicable laws and regulations, policies and programmes of Australia and the 
Community; no transfer of funds will take place. 
1 
7. As far as the results of the negotiations are concerned in comparison with the 
negotiating instructions, it should be stressed that the provisions with regard to the 
scope of the agreement, the forms of cooperation, the dissemination and utilization 
of information, and the financing provisions, have been respected. As regards the 
management of the draft Agreement it is foreseen that participation in each other's 
research projects will take place in accordance with the procedures in force for each 
Party [Article 4.1.(a)], which implies on the Community's side the full part to be 
played by the committees of the specific programmes in the selection of projects 
which will be the subject of cooperation. It should also be underlined that the 
Commission has been able to have the Community's guiding principles on the 
dissemination and utilization of information and management, allocation and exercise 
of intellectual property rights almost completely accepted by the Australian side. 
The annex to the draft agreement which deals with these guiding principles 
constitutes an integral part of the draft Agreement. 
8. In the light of the above-mentioned considerations the Commission proposes that the 
Council adopt the attached proposal for a Decision. 
s 
Proposal for a 
COUNCIL DECISION 
concerning the conclusion of an Agreement relating to scientific and technical 
cooperation between the European Economic Community and Australia 
THE COUNCIL OF THE EUROPEAN COMMUNITIES, 
Having regard to the Treaty establishing the European Economic Community, and in 
particular Article 130Q(2) thereof, 
Having regard to the proposal of the Commission \ 
in cooperation with the European Parliament2, 
Having regard to the opinion of the Economic and Social Committee 3, 
WHEREAS the European Economic Community and Australia are pursuing specific 
research programmes in areas of common interest, 
WHEREAS on the basis of past experience in the framework of the Arrangement 
between the Government of Austraha and the Commission of the European 
Communities for cooperation in Science and Technology, signed on 12 November 1986, 
both sides have expressed a desire to establish a more formal framework for the conduct 
of collaboration in science and technology, 
WHEREAS by Decision 92/ /EEC 4 of 21 May 1992 Council authorized the 
Commission to negotiate an agreement for scientific and technical cooperation between 
the European Economic Community and Australia, 
WHEREAS the Community and Australia expect to obtain mutual benefit from 
cooperation, 
WHEREAS the Agreement on scientific and technical cooperation between the EEC and 
Australia should be approved, 
DECIDES: 
1 O.J. N° 
2 O.J. N° C 
3 OJ. N°C 
4 OJ. N° 
Article 1 
The Agreement relating to Scientific and Technical Cooperation between the European 
Economic Community and Australia, is hereby approved on behalf of the Community. 
The text of the Agreement is attached to this Decision. 
Artidc2 
The President of the Council shall carry out the notifications provided for in Article 11 
of the Agreement 
Ike 
DRAFT 
AGREEMENT RELATING TO SCIENTIFIC AND TECHNICAL 
COOPERATION BETWEEN AUSTRALIA AND TOE 
EUROPEAN ECONOMIC COMMUNITY 
AUSTRALIA and THE EUROPEAN ECONOMIC COMMUNITY, hereinafter referred 
to as the "Parties", 
RECOGNISING that the European Economic Community, hereinafter called "the 
Community", and Australia are pursuing specific research programmes in areas of 
common interest; 
NOTING the Arrangement between the Government of Australia and the Commission 
of the European Communities for Cooperation in Science and Technology, signed at 
Canberra on 12 November 1986, which provides for cooperation in fields of science and 
technology of mutual interest through the exchange of information arising from research 
in specific fields; 
CONSIDERING the importance of scientific and technical research to Australia and the 
Community, and the mutual benefits that may be derived if the Parties facilitate further 
cooperation; and 
DESIRING to establish a framework for the conduct of collaboration in scientific and 
technical research which will extend and strengthen collaboration in areas of common 
interest and encourage the application of results of such collaboration to the social and 
economic benefit of Australia and the Community; 
HAVE AGREED AS FOLLOWS: 
ARTICLE 1 
Definitions 
1. "Cooperative activity" means an activity carried on under this Agreement, and 
includes joint research. 
2. "Information" means scientific or technical data, results or methods of research 
and development stemming from the joint research and any other information 
deemed necessary by the Parties and/or participants engaged in the joint research 
to be provided or exchanged under this Agreement or research pursuant thereto. 
3. Intellectual Property shall have the meaning defined in Article 2 of the 
Convention establishing the World Intellectual Property Organization, done at 
Stockholm, 14 Jury 1967. 
4. "Joint research" means research implemented and/or funded by the joint 
contributions of the Parties and with collaboration from participants of both 
Parties, where appropriate. 
5. "Participant" means any person, legal entity, research institute or any other body 
participating in a research project under this Agreement, including the Parties 
themselves. 
ARTICLE2 
Objectives 
The Parties shall encourage and, within the terms of this Agreement, facilitate 
cooperation between Australia and the Community in fields of common interest where 
the Parties are supporting research and development activities to advance science and/or 
technology relevant to those fields of interest 
ARTICLE 3 
Principles 
Cooperation under this Agreement shall be conducted on the basis of the following 
principles: 
(a) mutual benefit; 
(b) timely exchange of information which may affect the actions of participants 
in cooperative activities; 
(c) within the framework of applicable laws and regulations relating to 
intellectual property, effective protection and equitable distribution of 
intellectual property, as set out in the Annex to this Agreement, which 
forms an integral part thereof; and 
(d) pursuit of economic and social benefits of cooperative activities to the 
Community and Australia in view of the contributions made to cooperative 
activities by the respective participants and Parties. 
ARTICLE 4 
Scope 
1. Cooperation may include the following activities: 
(a) participation of persons and legal entities, research institutes, and other 
bodies, including the Parties themselves, in research projects conducted by 
Australia or the Community, in accordance with the procedures in force 
for each Party; 
(b) shared use of research facilities in pursuit of cooperation on research 
projects; 
(c) visits and exchanges of scientists, engineers and other appropriate 
personnel for the purposes of participating in seminars, symposia and 
workshops relevant to cooperation under this Agreement; 
(d) exchange of information such as practices, laws, regulations and 
programmes relevant to cooperation under this Agreement; and 
(e) other activities as may be mutually determined by the Joint Science and 
Technology Cooperation Committee in accordance with the applicable 
policies and programmes of the Parties. 
*7© 
2. For the purposes of this Agreement, cooperation shall be restricted to activities 
in the following areas: 
(a) biotechnology; 
(b) medical and health research; 
(c) marine science and technology; 
(d) environment; 
(e) information technologies; and 
(f) communication technologies. 
3. Research projects shall not proceed under this Agreement until the Parties have 
endorsed a Technology Management Plan, as described in the Annex to this 
Agreement, and which is agreed by the participants. 
ARTICLE 5 
Joint Science and Technology Cooperation Committee 
1. Cooperative activities under this Agreement shall be administered by a Joint 
Science and Technology Cooperation Committee comprising representatives of 
each Party. 
2. The functions of the Joint Science and Technology Cooperation Committee shall 
be to: 
(a) promote and review the activities envisaged under the Agreement; 
(b) authorise activities falling under Article 4,l(e) of this Agreement as being 
cooperative activities to which this Agreement applies; 
(c) advise the Parties on ways to enhance cooperation consistent with the 
objectives and principles set out in this Agreement; and 
(d) provide a report annually to the Parties on the level, status and 
effectiveness of cooperative activities undertaken under this Agreement 
A*\ 
3. The Joint Science and Technology Cooperation Committee shall endeavour to 
meet once a year, with such annual meetings being held alternately in Europe and 
Australia. Other meetings may be held as mutually determined. 
Decisions of the Joint Science and Technology Cooperation Committee shall be 
reached by consensus. Minutes, comprising a record of the decisions and principal 
points discussed, shall be taken at each meeting. These Minutes shall be agreed 
by those persons selected from each side to jointly chair the meeting, and shall, 
together with the annual report, be available to the next bilateral Ministerial 
meeting between Australia and the Community. 
ARTIOUE6 
Dissemination and utilization of information 
The dissemination and utilization of information, and management, allocation and 
exercise of intellectual property rights, resulting from joint research under this 
Agreement, shall be subject to the principles set out in the Annex to this Agreement. 
ARTICLE 7 
Funding 
1. Cooperative activities shall be subject to the availability of funds and to the 
applicable laws and regulations, policies and programmes of Australia and the 
Community. 
2. Costs incurred by participants in cooperative activities subject to this Agreement 
shall not require any transfer of funds from one Party to the other. 
3. Costs incurred by or on behalf of the Joint Science and Technology Cooperation 
Committee shall be met by the Party to whom the members are responsible. 
Costs, other than those of travel and accommodation, which are directly associated 
with meetings of the Joint Science and Technology Cooperation Committee, shall 
be met by the host Party. 
Ah 
ARTICLE 8 
Entry of personnel and equipment 
Each Party shall take all reasonable steps and use its best efforts to facilitate entry to and 
exit from its territory of personnel, material and equipment of the other Party engaged 
in or used in cooperative activities under this Agreement 
ARTICLE 9 
Other Agreements 
This Agreement is without prejudice to cooperation which may be undertaken pursuant 
to other Agreements or arrangements between the Parties. 
ARTIOJE 10 
Territorial application of this Agreement 
This Agreement shall apply, on the one hand, to the territories in which the Treaty 
establishing the European Economic Community is applied and under the conditions laid 
down in that Treaty and, on the other hand, to the territory of Australia. 
ARTICLE 11 
Entry into force and termination 
1. This Agreement shall enter into force on the date on which the Parties shall have 
notified each other in writing that their legal requirements for the entry into force of this 
Agreement have been fulfilled. 
2. The Agreement may be amended or extended by agreement of the Parties. 
Amendments or extensions shall enter into force on the date on which the Parties shall 
have notified each other in writing that their legal requirements have been fulfilled. 
3. This Agreement may be terminated at any time by either Party upon twelve 
months written notice. The expiration or termination of this Agreement shall not affect 
the validity or duration of any arrangements made under it, or the rights and obligations 
established pursuant to the Annex to this Agreement. 
13 
ARTICIJE12 
This Agreement is drawn up in duplicate in the Danish, Dutch, English, French, German, 
Greek, Italian, Portuguese, Spanish languages, each of these texts being equally authentic. 
IN WITNESS WHEREOF the undersigned have signed this Agreement 
DONE AT , this day of , One thousand nine hundred and ninety-
FOR FOR THE EUROPEAN ECONOMIC 
AUSTRALIA: COMMUNITY: 
AU 
ANNEX ON THE 
DISSEMINATION AND UTILIZATION OF INFORMATION AND 
MANAGEMENT, AI LOCATION AND EXERCISE 
OF INTELLECTUAL PROPERTY RIGHTS 
I. OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS 
1. All research carried out pursuant to this Agreement shall be "joint research". The 
participants shall jointly develop joint technology management plans (TMPs)1 in 
respect of the ownership and use, including publication, of information and 
Intellectual Property (IP) to be created in the course of joint research. Those 
plans shall be approved by the Parties before the conclusion of any specific 
research and development cooperation contracts to which they refer. The TMPs 
shall be developed taking into account the aims of the joint research, the relative 
contributions of the participants, the advantages and disadvantages of licensing by 
territory or for fields of use, requirements imposed by applicable laws, dispute 
settlement procedures, and other factors deemed appropriate by the participants. 
The rights and obligations concerning the research generated by visiting 
researchers in respect of IP shall also be addressed in the TMPs. 
2. Information or IP created in the course of joint research and not addressed in the 
TMP shall be allocated, with the approval of the Parties, according to the 
principles set out in the TMP, including dispute resolution. In case of 
disagreement which for sound reasons cannot be resolved by the agreed dispute 
settlement procedure, the dispute may be referred to the Joint Science and 
Technology Cooperation Committee which shall endeavour to mediate between 
the participants. If, having exhausted the procedures described above, the 
disagreement continues, 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. 
3. Each Party shall ensure that the other Party and its participants may have the 
rights to IP allocated in accordance with the principles set out in Section I of this 
Annex. 
The indicative features of such TMPs are set out in the Appendix. 
AS 
While maintaining the conditions of competition in areas affected by the 
Agreement each Party shaii endeavour to ensure that rights acquired pursuant to 
this 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 
(il) the adoption and implementation of international standards. 
IL COPYRIGHT WORKS 
Copyright belonging to the Parties or to their participants shall be accorded 
treatment consistent with the Berne Convention (Paris Act 1971). 
III. SCIENTIFIC LITERARY WORKS 
Subject to Section IV, unless otherwise agreed in the TMP. publication of results 
of research shall be made jointly by the Parties or participants to that joint 
research. Subject to this general role, 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 this Agreement, the other 
Party shall be entitled to a worldwide, non-exclusive, irrevocable, royalty-
free licence to translate, reproduce, adapt, transmit and publicly distribute 
such works. 
2. The Parties shall ensure that literary works of a scientific character arising 
from joint research pursant to this Agreement and published by 
independent publishers shall be disseminated 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 or authors of 
the work unless an author or authors expressly declines or decline to be 
named. Copies shall also bear a clearly visible acknowledgement of the 
cooperative support of the Parties. 
A6 
IV. UNDISCLOSED INFORMATION 
A Documentary undisclosed information 
1. Each Party or its participants, as appropriate, shall identity at the earliest possible 
moment and preferably in the TMP the information that it wishes to remain 
undisclosed in relation to this Agreement, taking into account, among other things, 
the following criteria: 
(i) secrecy of the information in the sense that the information 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 field; 
(ii) the actual or potential commercial value of the information by virtue of its 
secrecy; and 
(iii) 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 the 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 this Agreement may not be disclosed. 
2. Each Party shall ensure that undisclosed information under this Agreement and 
its privileged nature is readily recognizable as such by the other Party, 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. 
3. A Party receiving undisclosed information pursuant to this Agreement shall 
respect its privileged nature. These limitations shall automatically terminate when 
this information is disclosed by the owner without restriction to experts in the 
field. 
4. 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 in the receiving Party 
authorised for the specific purposes of the joint research under way, provided that 
any such undisclosed information shall be disseminated only on conditions of 
confidentiality and shall be readily recognizable as such, as set out above. 
-H 
5. 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 4 above. 
TheParties shall cooperate in developing procedures for requesting and obtaining 
prior written consent for such wider dissemination, and each Party shall 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 or privileged 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 of the confidential character of the information 
communicated at the time such communication is made. 
C. Control 
Each Party shall endeavour to ensure that undisclosed information received by it 
under this Agreement shall be controlled as provided therein. If one of the 
Parties becomes aware that it will be, or may reasonably be expected to become, 
unable to meet the non-dissemination provisions of Subsections A or B above, it 
shall immediately inform the other Party. The Parties shall thereafter consult to 
define an appropriate course of action. 
12 
APPENDIX 
Indicative features of a 
Technology Management Plan (TMP) 
The TMP is a specific agreement to be concluded between the participants about the 
implementation of joint research and the respective rights and obligations of the 
participants. With respect to 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 may also address 
foreground and background information, licensing and deliverables. 
«12 
ISSN 0254-1475 
COM(93) 269 final 
DOCUMENTS 
EN 11 15 
Catalogue number : CB-CO-93-299-EN-C 
ISBN 92-77-56675-2 
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