COMMISSION OF THE EUROPEAN COMMUNITIES 
COM(94) 551 final 
Brussels, 05.12.1994 
Recommendation for a 
COUNCIL DECISION 
authorizing the Commission to sign an 
Agreement for scientific and technological cooperation between the European 
Community and Canada 
(presented by the Commission) 
EXPLANATORY MEMORANDUM 
1. Scientific and technological cooperation between the European Community and Canada began 
in 1959 with the signature of an agreement between the European Atomic Energy Community 
and the Canadian Government for cooperation in peaceful uses of atomic energy. 
In September 1976 a Framework Agreement for commercial and economic cooperation 
between the European Communities and Canada was concluded. This Agreement provided also 
for and encouraged technological and scientific exchanges between both parties, leading to the 
signature of various specific agreements covering selected areas of mutual interest. 
In 1989 Canada requested the opening of negotiations for the conclusion of a specific 
agreement on science and technology which would cover research areas falling under both the 
EEC and EURATOM Treaties. After further exploratory discussions with the Canadian 
authorities, and while waiting for negotiating directives for a cooperation agreement with 
Australia in the area of science and technology, the Commission asked Council on 
18 December 1992 for negotiating directives for an agreement on scientific and technological 
cooperation between the European Economic Community, the European Atomic Energy 
Community and Canada (doc. SEC(92)2359). 
During subsequent deliberations in the Council it was decided to limit the scope of the 
envisaged Agreement to activities falling under the EEC Treaty, and this for both legal and 
procedural reasons. On 19 April 1993 Council authorized the Commission to negotiate the 
agreement in question. 
3. The negotiations 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. 
The draft Agreement provides for : 
- the participation of persons and legal entities, including the Parties themselves, universities, 
research institutes, and other bodies or undertakings, in research projects conducted by 
Canada or the Community in a restricted number of research areas; 
- the shared use of research facilities; 
- visits and exchanges of scientists, engineers and other appropriate personnel; 
- the exchange of information; 
other activities as may be jointly determined by the Joint Science and Technology 
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 Canada and the Community; no transfer of funds 
will take place. 
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 5.a. 1], 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 accepted by the Canadian 
side. 
In the light of the above mentioned considerations the Commission proposes that the Council 
- decide that the Agreement be signed on behalf of the Community and 
- authorize the President of the Council to appoint the persons duly empowered to sign on 
behalf of the Community. 
* 
After signature by the parties, the Commission will submit to the Council a proposal for the 
approval of the Agreement. 
x 
AGREEMENT 
FOR SCIENTIFIC AND TECHNOLOGICAL COOPERATION 
BETWEEN CANADA AND THE EUROPEAN COMMUNITY 
3> 
THE GOVERNMENT OF CANADA of the one part, and the Council of the 
European Union on behalf of the European Community, 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 Canada and the European Community, herein after "the 
Community", are pursuing research and technological programmes in a number 
of areas of common interest, and that mutual benefits may be derived if the 
Parties facilitate further cooperation; 
NOTING that there has been active cooperation and information exchange in a 
number of scientific or technological areas under the Canada-European 
Communities Framework Agreement for Commercial and Economic Cooperation 
signed in 1976; 
Having regard to the Declaration on European Community-Canada Relations 
adopted on November 22, 1990; and 
DESIRING to establish a formal basis for cooperation in scientific and 
technological research which will extend and strengthen the conduct of 
cooperative activities in areas of common interest and encourage the application 
of the results of such cooperation to their economic and social benefit; 
HAVE AGREED AS FOLLOWS : 
ARTICLE 1 
Purpose 
The purpose of this Agreement is to encourage and facilitate cooperation 
between Canada 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 2 
Definitions 
For the purposes of this Agreement: 
a) "Cooperative activity" means any activity carried on under this 
Agreement, and includes joint research; 
b) "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 participants engaged in 
cooperative activity, including, where necessary, the Parties themselves; 
c) "Intellectual Property" shall have the meaning defined in Article 2 of the 
Convention establishing the World Intellectual Property Organization, 
done at Stockholm, 14 July, 1967; 
d) "Joint research" means research that is financially supported by either or 
by both Parties and that involves collaboration by participants from both 
Canada and the Community; 
e) "Participant" means any person, legal entity, university, research institute 
or any other body or undertaking participating in a cooperative activity, 
including the Parties themselves. 
ARTICLE 3 
Principles 
Cooperation 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, effective 
protection of intellectual property and equitable sharing of intellectual 
property rights, as set out in the Annex, which forms an integral part of 
this Agreement; 
d) balanced realisation of economic and social benefits by Canada and the 
Community in view of the contributions made to cooperative activities by 
the respective participants and/or Parties. 
5 
ARTICLE 4 
Areas of Cooperation 
a. Cooperation may be pursued in the following areas : 
1) agriculture, including fisheries; 
2) medical and health research; 
3) non-nuclear energy; 
4) environment, including earth observation; 
5) forestry; 
6) information technologies; 
7) communication technologies; 
8) telematics for economic and social development; 
9) mineral processing; 
b. Other areas may be added to this list upon review and recommendation by 
the Joint Science and Technology Cooperation Committee and subject to 
decisions in accordance with procedures in force for each Party. 
ARTICLE 5 
Modalities of Cooperation 
a. Cooperation may include the following activities: 
1) participation of persons and legal entities, including the Parties 
themselves, universities, research institutions, and other bodies or 
undertakings, in research projects of Canada or the Community, in 
accordance with the procedures in force for each Party; 
2) shared use of research facilities; 
3) visits and exchanges of scientists, engineers or other appropriate 
personnel for the purposes of participating in seminars, symposia and 
workshops relevant to cooperation under this Agreement; 
4) exchange of information on practices, laws, regulations and programmes 
relevant to cooperation under this Agreement; 
5) othe" 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. 
é 
b. Joint research projects shall proceed under this Agreement only after the 
participants in a project have concluded a Joint Technology Management Plan, 
as indicated in the Annex to this Agreement. 
ARTICLE 6 
Joint Science and Technology Cooperation Committee (JSTCC) 
a) This Agreement shall be administered by a Joint Science and Technology 
Cooperation Committee composed of representatives of each Party. 
b) The functions of the JSTCC shall be to: 
1) Promote and review the activities envisaged under the Agreement; 
2) Make recommendations pursuant to Article 4 (b); 
3) Authorise activities falling under Article 5 (a.5) as being 
cooperation to which this Agreement applies; 
4) Advise the Parties on ways to enhance cooperation consistent with 
the principles set out in this Agreement; 
5) Provide a report annually to the Parties on the level, status and 
effectiveness of cooperation undertaken under this Agreement; 
6) Review the efficient and effective functioning of the Agreement. 
c) The JSTCC shall meet approximately once a year, meetings being held 
alternately in Canada and the Community. Other meetings may be held 
as mutually agreed. 
d) Decisions of the JSTCC 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 meetings. The JSTCC 
annual report shall be made available to the Joint Cooperation Committee 
established under the 1976 EC-Canada Framework Agreement for 
Commercial and Economic Cooperation and appropriate Ministers of each 
Party. 
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ARTICLE 7 
Funding 
a) Cooperative activities shall be subject to the availability of funds and to 
the applicable laws and regulations, policies and programs of Canada and 
the Community. 
b) Costs incurred by participants in cooperative activities subject to this 
Agreement shall not require any transfer of funds from one Party to the 
other. 
ARTICLE 8 
Entry of Personnel and Equipment 
Each Party shall take all reasonable steps and use its best efforts, within 
existing laws and regulations, to facilitate entry to and exit from its territory of 
personnel, material and equipment of the participant(s) engaged in or used in 
cooperative activities under this Agreement. 
ARTICLE 9 
Dissemination and Utilization of Information 
The dissemination and utilization 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 to this Agreement. 
ARTICLE 10 
Other Agreements and Transitional Provisions 
a) This Agreement shall supersede and replace those provisions of the 
Canada-European Community Framework Agreement for Commercial and 
Economic Cooperation governing existing science and technology 
collaboration. 
b) The Parties shall endeavour to bring under the terms of this Agreement 
those existing arrangements for scientific and technological cooperation 
between Canada and the Community that fall under the scope of Article 
4. 
c) Subject to paragraph 10 (a), this Agreement is without prejudice to other 
existing Agreements or arrangements between the Parties or any 
Agreement or arrangement between the Parties and third parties. 
ARTICLE 11 
Territorial Application 
This Agreement shall apply to the territory of Canada and to the territories in 
which the Treaty establishing the European Community is applied and under the 
conditions laid down in that Treaty. This shall not prevent the conduct of 
cooperative activities on the high seas, outer space, Antarctica, or the territory 
of third parties, if the participants so agree. 
ARTICLE 12 
Entry into Force and Termination 
a) This Agreement shall enter into force on the date on which the Parties 
have notified each other in writing that their legal requirements for entry 
into force of this Agreement have been fulfilled. 
b) 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 legal requirements have been 
fulfilled. 
c) 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 any specific rights and obligations that have accrued in 
compliance with the Annex. 
ARTICLE 13 
This Agreement is drawn up in duplicate in the Danish, Dutch, English, French, 
German, Greek, Italian, Portuguese and Spanish languages, each of these texts 
being equally authentic. 
3 
IN WITNESS WHEREOF the undersigned have signed this Agreement. 
DONE AT , this day of , One thousand nine 
hundred and ninety four. 
FOR THE GOVERNMENT OF CANADA FOR THE EUROPEAN COMMUNITY 
AD 
ANNEX ON THE DISSEMINATION AND UTILIZATION OF INFORMATION 
AND MANAGEMENT, ALLOCATION 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 performing the joint research shall develop Joint Technology 
Management Plans (JTMPs) which shall contain, as a minimum, principles in 
respect of the ownership and use, including publication, of information and 
Intellectual Property (IP) to be created in the course of the joint research*. 
The JTMPs may be reviewed by the Parties and shall be approved by the 
responsible funding agency or department of the Party involved in financing the 
research, before the conclusion of any specific research and development 
cooperation contracts to which they refer. The JTMPs 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, the need for dispute 
settlement procedures and other factors deemed appropriate by the participants. 
The rights and obligations concerning the research and information generated by 
visiting researchers in respect of IP shall also be addressed in the JTMPs. 
2. Information or IP created in the course of joint research and not addressed in a 
JTMP shall be allocated following the procedures set out in 1,1 according to the 
principles set out in that JTMP. In case of disagreement, which cannot be 
resolved by the agreed dispute resolution procedure, such unallocated information 
or IP shall be owned jointly by all the participants involved in the joint research 
from which the information or IP results, and each participant to whom this 
provision applies shall have the right to use such information or IP for his/her own 
commercial exploitation with no geographical limitation. 
3. In accordance with applicable laws, each Party shall ensure that the other Party 
and its participants may have the rights to IP allocated to them in accordance with 
the principles set out in section I of this Annex. 
4. While maintaining the conditions 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; 
(ii) the adoption and implementation of international standards. 
The indicative features of such JTMPs are set out in Appendix 
// 
II. 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 
Without prejudice to Section IV, unless otherwise agreed in the JTMP, any publication of 
results of the joint research shall be made jointly by the participants. In addition to the 
foregoing general rule, the following procedure 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 shall be entitled, 
with written permission from the publisher, to a world-wide, non-exclusive, 
irrevocable, royalty-free licence 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 or 
authors expressly declines or decline to be named. Copies shall also bear a clearly 
visible acknowledgement of the cooperative support of the Parties. 
IV. UNDISCLOSED INFORMATION 
A. Documentary undisclosed information 
1. Each Party or its participants shall identify at the earliest possible moment, and 
preferably in the JTMP, the information that it wishes to remain undisclosed in 
relation to this Agreement, taking into account, among other things, the following 
criteria: 
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; 
the actual or potential commercial value of the information by virtue of its 
secrecy; 
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. 
/i 
2. Participants shall not normally be required to provide undisclosed information to 
the Parties. Should the Parties become aware of such information, they shall 
respect the privileged nature thereof, and it shall not be further disclosed by, 
within, or between the Parties, without the written consent of the participant(s) to 
whom the information belongs. These limitations shall automatically terminate 
when such information is disclosed by the owner, without restriction, to experts in 
the field. 
3. Each Party shall ensure that undisclosed information, communicated between them 
under the Agreement, and its ensuant 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. 
4. Undisclosed information communicated under the Agreement, and received from 
the other Party, 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 authorized for the specific purposes of the joint research 
underway, provided that any undisclosed information so disseminated shall be 
pursuant to a written agreement of confidentiality and shall be readily recognizable 
as such, as set out above. 
5. With the prior written consent of the Party providing undisclosed information 
under the Agreement, the receiving Party may disseminate such undisclosed 
information more widely than otherwise permitted in Paragraph 3 above. 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 or privileged information provided in 
seminars and other meetings arranged under the 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 in Section IV A above, 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. 
'3 
C. Control 
Each Party shall make its best efforts to ensure that undisclosed information received by it 
under the 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 Paragraphs A and B above, it shall immediately 
inform the Party likely to be affected by the dissemination. The Parties involved shall 
thereafter consult to define an appropriate course of action. 
/q 
APPENDIX 
INDICATIVE FEATURES OF A 
JOINT TECHNOLOGY MANAGEMENT PLAN (JTMP) 
The JTMP is a specific contract to be concluded between the participants in joint research 
defining their respective rights and obligations. With respect to Intellectual Property 
Rights, the JTMP will normally address, inter alia: 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 JTMP may also address foreground and background 
information, the rules governing disclosure of undisclosed information, licensing and 
deliverables. 
'5 
FINANCIAL STATEMENT 
1. Title of the operation 
International scientific cooperation : cooperation agreement in science and technology with 
Canada. 
2. Relevant budget headings 
Travel costs for EC officials will be charged to the specific budget headings of the 
programmes within the Community RTD framework programme. 
3. Legal basis 
Article 130i and m and Article 228 of the EC Treaty 
4. Description of the operation 
4.1. Specific objectives of the operation 
The essential objective is to stimulate RTD cooperation between the EC and Canada in terms 
of research projects covered by the framework programme and in the sectors covered by the 
Agreement. 
4.2. Duration 
Unspecified : ongoing annual budget entry (the cooperation agreement includes a clause by 
which either or both parties can give notice of terminating the agreement), but subject to 
annual budget disponibilities. 
5. Classification of the expenditure 
5.1. Non-compulsory expenditure 
5.2. Differentiated appropriations 
6. Type of expenditure 
100 % subsidy 
(Missions to Canada by Commission officials; organization of workshops, seminars and 
meetings in Europe and Canada). 
)G 
7. Financial impact 
Method of calculating the total annual cost of the operation (estimate) 
a. Preparatory activities, review of the cooperation : meeting of the Joint Science and 
Technology Cooperation Committee, exchange of information, visits of officials and 
experts in Canada 25.000 Ecus 
b.Scientific and technical workshops/meetings 30.000 Ecus 
Total : 55.000 Ecus/year 
8. Planned anti-fraud measures 
Controls by officials technically responsible for the operation (scientific and budgetary 
aspects). 
9. Cost-effectiveness analysis 
9.1. Specific objectives, target population 
- The agreement is designed to enable the Community and Canada to profit on the basis 
of the principle of mutual benefit, from the scientific and technical progress achieved 
under their reciprocal research programmes, via the participation of the Canadian 
scientific community and industrial sector in the Community's research projects and via 
the independent and non-subsidized participation of bodies established in the Community 
in Canadian research projects; 
- beneficiaries in the EC and Canada will be the scientific communities, the industrial 
sector and the general public, thanks to the direct and indirect effects of cooperation. 
' 7-
9.2. Justification of the operation 
Community budget intervention is indispensable because the planned cooperation comes 
under the implementation of the framework programme, including the budgetary section : 
participation by Canada in certain specific programmes and administrative expenditure on the 
European side (missions by Community officials, organization of seminars in the Community 
and Canada. 
9.3. Monitoring and evaluation of the operation 
The cooperation agreement will be evaluated regularly by the Commission services 
concerned. The evaluation will comprise the following elements : 
a. Collection of information : 
On the basis of data from the specific programmes of the framework programme. 
b. Overall evaluation of the operation : 
An evaluation of all the cooperation activities in the context of this agreement will be made 
by the Commission's departments at the end of each year. 
ISSN 0254-1475 
COM (94) 551 final 
DOCUMENTS 
EN 15 li 
Catalogue number : CB-CO-94-578-EN-C 
ISBN 92-77-83070-0 
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