Proposal for a COUNCIL DECISION concluding the Agreement for scientific and technological cooperation between the European Community and Canada
Date: 1995-09-11
Institutions: European Commission
Subjects: Canada, cooperation agreement (EU), research and development, scientific cooperation, scientific research, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  11.09.1995 
COM(95) 419  final 

95/0227 (CNS) 

Proposal for a 

COUNCIL DECISION 

concluding the Agreement for scientific and technological cooperation between the European 
Community  and Canada 

(presented  by the Commission) 

EXPLANATORY  MEMORANDUM 

Subject  : 

Proposal  for  a  Council  Decision  concluding  the  Agreement  for  scientific  and 
technological cooperation between the European Community and Canada 

1. 

On  19  April  1993  Council  authorized  the  Commission  to  negotiate  an  Agreement  for 
scientific  and technological cooperation  between the European  Community and Canada. 

The results of these negotiations were approved  by the Commission  on 5 December  1994 
(COM(94)551) and transmitted to Council (letter from  Commissioner Van Miert, dated 21 
December  1994) proposing 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. 

3. 

On  15 June 1995, Council authorized the Commission  to sign the Agreement on behalf of 
the  Community.  Signing  took  place  in  Halifax,  on  17 June  1995.  In  conformity  with 
Declaration  nr 2 of Annex II to the Minutes of the Council  meeting of  15 June  1995, the 
content of that declaration was communicated  to the Canadian authorities at the moment of 
signing by Sir Leon Brittan. 

4. 

In  the  light  of  the  above-mentioned  considerations,  the  Commission  proposes  that  the 
Council,  after  consultation  of the European  Parliament  : 

conclude the attached Agreement for scientific and technological cooperation between 
the European  Community and Canada; and 
give notification  to the Canadian  authorities  that  the procedures  necessary  for  the 
entry into force of the Agreement have been completed on the part of the European 
Community. 

f  •— 

Proposal  for  a 

COUNCIL  DECISION 

concluding the Agreement for  scientific and technological cooperation  between the European 
Community  and  Canada 

THE  COUNCIL  OF  THE  EUROPEAN  UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130m,  in conjunction  with  Article 228(2),  firs* sentence,  and  the first  subparagraph 
of  Article 228(3)  thereof, 

Having  regard  to  the proposal  from  the  Commission  (), 

Having  regard  to  the  Opinion  of  the European  Parliament (*), 

WHEREAS the European Community and Canada are pursuing specific research programmes 
in  areas  of  common  interest; 

WHEREAS  on  the  basis  of  past  experience  under  the  1976  Framework  Agreement  on 
Commercial  and  Economic  Cooperation  between  the European  Communities  and  Canada, 
both  sides have expressed  a desire to establish  a  more  formal  framework  for  the conduct of 
collaboration  in  science and  technology; 

WHEREAS  by  its  Decision  of  19 April  1993,  the  Council  authorized  the  Commission  to 
negotiate  an  agreement  for  scientific  and  technological  cooperation  between  the  European 
Community  and  Canada; 

WHEREAS by its Decision  of  15 June  1995, the Council authorized  the Commission  to sign 
the  Agreement  on  behalf  of  the  European  Community; 

WHEREAS  the  Agreement  was  signed  on  17 June  1995; 

WHEREAS  the Agreement  on  scientific  and  technological  cooperation  between  the EC and 
Canada  should  be  approved, 

HAS  DECIDED  AS  FOLLOWS 

1  O.J.  N° 

2  O.J.  N° 

3  O.J.  N' 

I 

The Agreement for scientific and technological cooperation between the European Community 
and Canada is hereby approved.  The text of the Agreement is attached  to this Decision. 

Article 1 

Article 2 

Pursuant to Article 12 of the Agreement,  the President of the Council shall give notification 
that the procedures necessary for the entry into force of the Agreement have been completed 
on the part of  the European  Community. 

Done at 

For  the Council 

The President 

J 

11 

ACUERD0 
DE  COOPERACIÔN  CIENTÏFICA Y  TECNOLÔGICA 
ENTRE  LA COMUNIDAD  EUROPEA  Y CANADA 

AFTALE 
OM VIDENSKABELIGT  OG TEKNOLOGISK  SAMARBEJDE 
MELLEM  DET EUROP/EISKE F/ELLESSKAB OG  CANADA 

ABKOMMEN 
ÛBER  WISSENSCHAFTLICHE  UNO TECHNOLOGISCHE  ZUSAMMENARBEIT 
ZWISCHEN  DER  EUROPÂISCHEN GEMEINSCHAFT  UND  KANADA 

IYMOQNIA 
METAEY T HI  EYPQnAÏKHI KOINOTHTAI KAi  TOY  KANAAA 
FIEP! EflIFTHMONIKHI KAI TEXNOAOHKHI  ZYNEPrAIÎAI 

AGREEMENT 
FOR  SCIENTIFIC AND TECHNOLOGICAL  COOPERATION 
BETWEEN THE  EUROPEAN COMMUNITY  AND  CANADA 

ACCORD 
DE COOPERATION  SCIENTIFIQUE  ET  TECHNOLOGIQUE 
ENTRE  LA  COMMUNAUTE  EUROPEENNE  ET  LE  CANADA 

ACCORDO 
Dl  COOPERAZIONE  SCIENTIFICA  E  TECNOLOGICA 
TRA  LA COMUNITÀ  EUROPEA  E IL  CANADA 

OVEREENKOMST 
INZAKE WETENSCHAPPELIJKE EN TECHNISCHE  SAMENWERKING 
TUSSEN  DE EUROPESE GEMEENSCHAP  EN  CANADA 

ACORDO 
DE  COOPERAÇÂO CIENTÏFICA E  TECNOLÔGICA 
ENTRE A  COMUNIDADE  EUROPEIA  E O  CANADA 

EUROOPAN  YHTEISON JA  KANADAN TIETEELLISTA  JA  TEKNISTA 
YHTEISTYÔTÂ  KOSKEVA 
SOPIMUS 

AVTAL 
OM  VETENSKAPLIGT  OCH  TEKNISKT  SAMARBETE 
MELLON EUROPEISKA  GEMENSKAPEN  OCH  KANADA 

L/ 

CE/CA/X 

. . . . . . . « gI M M M W ÊI  m «  1 

111. -  M» Ml • !•  I II i m i L M M J W U ! M lll lW m W H npM W W^^ 

\i 

Hecho  en  Halifax,  el diecisiete  de junio de mil novecientos  noventa y cinco. 

Udfœrdiget  i Halifax  den syttende juni nitten hundrede  og fem og  halvfems. 

Geschehen  zu  Halifax  am siebzehnten  Juni  neunzehnhundertfùnfundneunzig. 

Eyive OTiq XâÀic{)aÇ, oriq  5ÉKO ecjrrâ  louvîou x ^a  ewiaKÔoia evevn,vra névre. 

Done  at  Halifax  on  the  seventeenth  day  of  June  in  the  year  one  thousand  nine 
hundred  and  ninety-five. 

Fait  à  Halifax,  le dix-sept  juin mil neuf cent  quatre-vingt-quinze. 

Fatto  a Halifax,  addi'  diciassette  giugno  millenovecentonovantacinque. 

Gedaan  te  Halifax, de zeventiende juni negentienhonderd  vijfennegentig. 

Feito  em  Halifax,  em dezassete  de Junho de mil novecentos  e noventa  e cinco. 

s e i t s e m â n t e n â t o i s ta 
T e h ty  H a l i f ax 
tuhatyhdeksânsataayhdeksànkymmentâviisi. 

p â i v â nâ 

k e s à k u u ta 

v u o n na 

Som  skedde  i Halifax  den sjuttonde juni  nittonhundranittiofem. 

r^n/o A /v  o 

vT 

M U 1 »U  •m |MW lyM,ip jU JU J l1JB M.M^ 

N 

Por  la  Comunidad  Europea 
For  Det  Europaeiske Faeilesskab 
Fur  die  Europàische  Gemeinschaft 
Tta  xqv  EupconaÏKrj KoivÔTrrra 
For  the  European  Community 
Pour  la  Communauté  européenne 
Per  la  Comunità  europea 
Voor  de  Europese  Gemeenschap 
Pela  Comunidade  Europeia 
Euroopan  yhteisôn  puolesta 
Pà  Europeiska  gemenskapens  vâgnar 

Por  ei  Gobierno  de  Canada 
For  Canadas  regering 
Fur  die  Regierung  Kanadas 
Tia  TT]V Kupépvrjorj  TOU  Kavaôâ 
For  the  Government  of  Canada 
Pour  le gouvernement  du  Canada 
Per  il governo  del  Canada 
Voor  de  Regering van  Canada 
Pelo  Governo  do  Canada 
Kanadan  hallituksen  puolesta 
Pâ  Canadas  regerings  vâgnar 

vU—\yv 

& 

AGREEMENT 

FOR SCIENTIFIC AND TECHNOLOGICAL  COOPERATION  BETWEEN 

THE  EUROPEAN  COMMUNITY  AND  CANADA 

CE/CA/en 1 

THE COUNCIL  OF THE  EUROPEAN  UNION  on behalf  of  the  European  Community, 

of  the  one  part, and 

THE GOVERNMENT  OF CANADA,  of  the  other  part, 

hereinafter  referred  to  as the  "Parties"; 

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

development; 

RECOGNIZING  that the  European  Community,  hereinafter  referred to as "the  Community", 

and Canada, 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  European  Communities-Canada  Framework 

Agreement  for  Commercial  and  Economic  Cooperation  signed in  1976; 

HAVING  REGARD to the  Declaration  on European  Community-Canada  Relations  adopted 

on 22  November  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, 

CE/CA/en  2 

8 

HAVE  AGREED  AS  FOLLOWS: 

ARTICLE  1 

Purpose 

The  purpose  of  this  Agreement  is to  encourage  and  facilitate  cooperation  between  the 

Community  and  Canada  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; 

3 

CE/CA/en  3 

(c) 

"Intellectual  Property"  shall  have  the  meaning  defined  in  Article  2  of  the  Convention 

establishing  the  World  Intellectual  Property  Organization,  done  at  Stockhol-rj, 

14  July  1 9 6 7; 

(d) 

"Joint  research"  means  research  that  is  financially  supported  by  either  or  by  both 

Parties  and  that  involves  collaboration  by  participants  from  both  the  Community  and 

Canada; 

(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)  w i t h in  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,  w h i ch  forms  an  integral  part  of  this  Agreement; 

CE/CA/en  4 

(d) 

balanced  realization  of  economic  and  social  benefits  by  the  Community  and  Canada 

in  view  of  the  contributions  made  to  cooperative  activities  by  the  respective 

participants  and/or  Parties. 

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. 

"7  "7 

CE/CA/en  5 

ARTICLE  5 

Modalities  of  Coopération 

(a)  Cooperation  may  include  the  following  activities: 

1.  participation  of  persons  and  legal  entities,  including  the  Parties  themselves, 

universities,  research  institutions,  and  c:her  bodies  or  undertakings,  in  research 

projects  of  the  Community  or  Canada,  in  accordance  w i th  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,  taws,  regulations  and  programmes  relevant 

to  cooperation  under  this  Agreement; 

5.  other  activities  as  may  be  mutually  determined  by  the  Joint  Science  and 

Technology  Cooperation  Committee  in  accordance  w i th  the  applicable  policies 

and  programmes  of  the  Parties. 

CE/CA/en  6 

(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  t o: 

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  w h i ch  this 

Agreement  applies; 

4.  advise  the  Parties  on  ways  to  enhance  cooperation  consistent  w i th  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. 

CE/CA/en  7 

(c)  The  JSTCC  shall  meet  approximately  once  a  year,  meetings  being  held  alternately  in 

the  Community  and  Canada.  Other  meetings  may  be  neld  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  ce  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  European  Communities-Canada 

Framework  Agreement  for  Commercial  and  Economic  Cooperation  and  appropriate 

Ministers  of  each  Party. 

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  the  Community  and  Canada. 

(b)  Costs  incurred  by  participants  in  cooperative  activities  subject  to  this  Agreement  shall 

not  require  any  transfer  of  funds  from  one  Party  to  tne  other. 

CE/CA/en  8 

•I 

I 

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  European 

Communities-Canada  Framework  Agreement  for  Commercial  and  Economic 

Cooperation  governing  existing  science  and  technology  collaboration. 

1F 

CE/CA/en  9 

(b)  The  Parties  shall endeavour  to  bring  under the terms of this Agreement  those existing 

arrangements  for  scientific  and technological  cooperation  between the Community 

and  Canada  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,  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 Canada. 

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. 

CE/CA/en  10 

(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,  Finnish,  French, 

German,  Greek,  Italian, Portuguese,  Spanish, and  Swedish  languages,  each  of  these  texts 

being  equally  authentic. 

CE/CA/en  1  1 

ANNEX  ON THE DISSEMINATION  AND  UTILIZATION  OF  INFORMATION 

AND  MANAGEMENT,  ALLOCATION  AND  EXERCISE OF 

INTELLECTUAL  PROPERTY  RIGHTS 

ANNEX 

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. 

(")  The  indicative  features of  such JTMPs  are  set out  in Appendix 

C3 n 

CE/CA/Annex/en  1 

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  w h om  this 

provision  applies  shall  have  the  right  to  use  such  information  or  IP for  his/her  o wn 

commercial  exploitation  w i th  no  geographical  limitation. 

3. 

In  accordance  w i th  applicable  laws,  each  Party  shall  ensure  that  the  other  Party 

and  its  participants  may  have  the  rights  to  IP allocated  to  them  in  accordance  w i th 

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  w ay  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. 

CE/CA/Annex/en  2 

II.  COPYRIGHT  WORKS 

Copyright  belonging  to  the  Parties  or  to  their  participants  shall  be  accorded  treatment 

consistent  w i th  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  s o f t w a r e,  arising  from 

joint  research  pursuant  to  the  Agreement,  the  other  Party  shall  be  entitled,  w i th  written 

permission  from  the  publisher,  to  a  world-wide,  non-exclusive,  irrevocable,  royalty-free 

licence  to  translate,  reproduce,  adapt,  transmit  and  publiciy  distribute  such  w o r k s. 

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. 

Z  ^ 

CE/CA/Annex/en  3 

3.  All  copies  of  a copyright  work  to  be  publicly  distributed  and  orepared  under  this 

provision  shall  indicate  the  names  of  the  author(s)  of  the  w ck  unless  an  author  or 

authors  expressly  declines  or  decline  to  be  named.  Copies  snail  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  t he  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. 

CE/CA/Annex/en  4 

P  1 

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, 

w i t h i n,  or  between  the  Parties,  without  the  written  consent  of  the  participant(s) 

to  w h om  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  w i t h in  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. 

CE/CA/Annex/en  5 

5.  W i th  the  prior  w r i t t en  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  point  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. 

CE/CA/Annex/en  6 

2  s 

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  points  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. 

^V 

CE/CA/Annex/en  7 

INDICATIVE  FEATURES  OF  A 

JOINT  TECHNOLOGY  MANAGEMENT  PLAN  (JTMP) 

APPENDIX 

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. 

y  JK 

CE/CA/Appendix/en  1 

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). 

S(, 

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 
25.000  Ecus 
experts  in  Canada 

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. 

2  -]-

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. 

?t 

ISSN 0254-1475 

COM(95) 419  final 

DOCUMENTS 

EN 

11  15 

Catalogue number  :  CB-C0-95-461-EN-C 

ISBN 92-77-93237-6 

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