Recommendation for a COUNCIL DECISION approving the signature of an Agreement for scientific and technological cooperation between the European Community and the Republic of South Africa
Date: 1996-09-04
Institutions: European Commission
Subjects: South Africa, cooperation agreement (EU), research programme, scientific cooperation, technical cooperation

COMMISSION  OF THE EUROPEAN  COMMUNITIES 

Brussels,  04.09.1996 
COM(96)423 final 

Recommendation  for a 

COUNCIL DECISION 

approving  the  signature  of an Agreement  for  scientific  and  technological 
cooperation  between  the European  Community  and the Republic  of 
South  Africa 

(presented by the Commission) 

Recommendation  for  a  Council  Decision  approving  the  signature  of  an 
Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community  and  the  Republic  of  South  Africa 

1. 

In  the framework  of the new  relationship between  the European  Union  and  South  Africa,  the 
South  African  authorities  have  repeatedly  requested  the development  of  closer  relations  with 
the  European  Union  in  the area  of  science and  technology. 

The  Commission  reacted  favourably  to  these  requests  by  sending,  in  October  1994,  an 
exploratory  mission  to South  Africa.  It led  to the conclusion  that there  was a mutual  interest 
in  cooperation  in  a  wide  variety  of  research  sectors.  The  mission  also  concluded  that  closer 
collaboration  with  South  Africa  in  the  area  of  science  and  technology  might  have  positive 
effects  on the larger  region of Southern  Africa,  taking into account South  Africa's  pivotal  role 
in  the  Southern  African  Development  Community  (SADC). 

After  having received  on 22 December  1994 a proposal for a cooperation  agreement in science 
and  technology  from  the South  African  Government  and  after  further  exploratory  discussions 
and  consultation  among  Commission  services  concerned,  the  Commission  asked  the  Council 
for  negotiating directives for a S&T cooperation  agreement covering all activities related to the 
European  Community's  multi-annual  Framework  Programme  for  RTD  (1994-1998).  On 
22 January  1996 the Council authorised the Commission to negotiate the agreement in question. 

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  research  entities,  including  the  Parties  themselves,  in  RTD  projects 
conducted  by  South  Africa  or  the Community  in  research  areas covered  by  the  European 
Community's  Fourth  Framework  Programme; 

the  shared  use of  research  facilities; 

visits  and  exchanges  of  researchers,  engineers  and  technicians; 

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; 

3: 

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 South Africa  and the Community;  no  transfer 
of funds  will take place, except for  the purpose of participation  by South  African  research 
entities in the specific  programme of  RTD in the field  of cooperation  with  third  countries 
and international organisations, for which South Africa is considered a developing country. 

4.  The draft  Agreement  has been  initialled  on  7 May  1996.  The  results  of  the  negotiations  are 
in  conformity  with  the negotiating  directives  as adopted  by  the  Council  on  22 January  1996. 

5. 

In the light of the above mentioned  considerations  the Commission  proposes that the Council, 
without  prejudice  to  the  conclusion  of  the  Agreement  after  consultation  of  the  European 
Parliament  : 

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 

Draft 

AGREEMENT 

on scientific and technological cooperation 
between the European Community and the  Republic of South Africa 

THE  COUNCIL  OF  THE  EUROPEAN  UNION  acting  on  behalf  of  the 
European  Community  (hereinafter  "the  Community"),  of the  one  part,  and 

THE  GOVERNMENT  OF THE  REPUBLIC  OF SOUTH  AFRICA  acting  on 
behalf  of  the  Republic  of  South  Africa  (hereinafter  "South  Africa"),  of  the 
other  part, 

hereinafter  referred to as the "Parties"; 

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

WHEREAS  the  Community  and  South  Africa  are  pursuing  research  and 
technological development including demonstration in a number of areas of 
common  interest  and mutual  benefit  may  be derived  if the  Parties engage 
in cooperative  activities; 

WHEREAS  such cooperation should also be to the benefit of the Southern 
African  Development  Community  where  possible  and justified; 

WHEREAS, for this purpose, it is desirable that a framework for cooperation 
be established; 

WHEREAS  South  Africa,  on  the  one  hand,  and  the  Community  and  its 
Member  States, on the other hand, are negotiating  an agreement  referring 
inter  alia  to  the  negotiation  of  a  cooperation  agreement  in  the  field  of 
science  and  technology; 

WHEREAS, by Decision No 1110/94/EC, the European Parliament and the 
Council  of  the  European  Union  adopted  a  Framework  Programme  of 
European  Community  activities  in the  field  of  research  and  technological 
development and demonstration (1994-1998), hereinafter called the "Fourth 
Framework  Programme"; 

H-5 

i. 

WHEREAS,  without  prejudice  to  the  relevant  provisions  of  the  Treaty 
instituting  the  European  Community,  this  Agreement  and  any  activities 
entered into under it will in no way affect  the powers vested in the Member 
States  to  undertake  bilateral  activities  with  South  Africa  in  the  fields  of 
science,  technology,  research  and  development,  and  to  conclude,  where 
appropriate,  agreements  to that  end; 

HAVE AGREED AS FOLLOWS: 

ARTICLE 1 

Objectives 

The  Parties  shall  encourage  and  facilitate  cooperation  between  the 
Community  and  South Africa  in fields  of  common  interest where they  are 
supporting research and development  including demonstration activities to 
advance  science  and/or  technology. 

ARTICLE 2 

Definitions 

For the  purposes  of this Agreement: 

a) 

b) 

c) 

d) 

e) 

"Cooperative  activity"  means  any  activity  carried  out  under  this 
Agreement  and includes joint research; 

"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, 
the  Parties 
themselves; 

including,  where  necessary, 

"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; 

"Joint  research"  means  research,  technological  development  and 
demonstration  that  is  implemented  with  or  without  financial  support 
from  either  or  both  Parties  and  that  involves  collaboration  by 
participants from  both the  Community  and  South Africa; 

"Participant"  or  "Research  entity"  means  any  person,  legal  entity, 
university,  research  institute  or  any  other  body  or  undertaking 
participating in a cooperative activity, including the Parties themselves. 

H 

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;  and 

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. 

ARTICLE 4 

Scope  of the  cooperation 

Cooperation under this Agreement may cover all research and technological 
development and demonstration  (hereinafter  referred to as RTD) activities 
related to the  Fourth Framework  Programme  and all similar RTD activities 
in South Africa. 

ARTICLE 5 

Modalities  of  cooperation 

Cooperation  may  take the following forms: 

(a)  (i)  participation  of  South  African  research  entities  in  RTD  projects 
related  to  the  Fourth  Framework  Programme  and  a  reciprocal 
participation  of  research  entities  of  the  European  Community  in 
South  African  projects  in  similar  areas  of  research;  as  regards 
South  African  participation  in  Community  RTD  projects,  such 
participation  shall  be  subject  to  the  rules  applicable  for  the 
participation of undertakings, research centres and universities in 
the  specific  programmes  of  RTD of the  Community  1; 

Council  Decision  of  21 November  1994 concerning  the rules  for  the participation  of  undertakings, 
research  centres  and  universities  in  the  research,  technological  development  and  demonstration 
activities  of  the  European  Community  (O.J.  nr  L306 of  30.11.1994, p. 8) 

* 

(ii)  for the purpose of participation by South African research  entities 
in the specific  programme of  RTD in the field of cooperation  with 
third countries  and international organizations (1994-1998)  South 
Africa  is considered a developing  country; 

(b)  shared  use  of  research facilities; 

(c)  visits and exchanges of research workers, engineers and technicians; 

(d)  participation  by  experts in seminars,  symposia  and workshops; 

(e)  scientific  networks  and training  of  researchers; 

(f)  exchange  of 

information  on  practices, 
programmes  relevant  to cooperation  under this  Agreement; 

laws, 

regulations  and 

(g)  other  modalities  as  may  be  recommended  by  the  Joint  Science  and 
Technology  Cooperation Committee in accordance with the applicable 
policies  and  programmes  of the  Parties. 

With the exception  of projects  under (a)(ii)  above, joint  RTD projects  shall 
proceed  once  the  participants  have  concluded  a  Joint  Technology 
Management  Plan  (JTMP),  as indicated  in the Annex  to this  Agreement. 

ARTICLE 6 

Joint  Science  and Technology  Cooperation  Committee  (JSTCC) 

(a)  A  Joint  Science  and  Technology  Cooperation  Committee  will  be 
established in order to administer this Agreement; it will be composed 
of representatives of the Commission and of South Africa; it shall adopt 
its rules  of  procedure. 

(b)  The functions  of the  JSTCC  shall be to: 

1.  promote  and  review the  various  cooperation  activities  envisaged 

under  this  Agreement; 

2.  make  recommendations  pursuant  to Article  5 (g); 

3.  advise the Parties on ways to enhance cooperation consistent with 

the  principles  set  out  in this  Agreement; 

4. 

review  the  efficient  and  effective  functioning  of the  Agreement; 

5.  provide  a  report  annually  to  the  Parties  on  the  level,  status  and 

effectiveness  of  cooperation  undertaken  under  this  Agreement. 

% 

n 

(c)  The  JSTCC  shall  meet  as  mutually  agreed,  meetings  being  held 

alternately  in  the  Community  and  South  Africa. 

(d)  Costs  incurred  by  or  on  behalf  of  the  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  Committee,  shall  be  met  by  the  host  Party. 

ARTICLE  7 

Funding 

(a)  Cooperative  activities  shall  be  subject  to  the  availability  of  funds  and 
to the applicable  laws and regulations, policies and programmes  of the 
Parties. 

(b)  Costs incurred  by participants  in cooperative  activities shall not  require 
any  transfer  of  funds  from  one  Party  to  the  other,  except  for  the 
participation  referred  to  under  Article  5  (a)  (ii). 

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 

Research  entities  established  in  South  Africa,  participating  in  Community 
RTD  projects,  shall,  as  regards  ownership,  dissemination  and  utilization  of 
information  and  intellectual  property  arising  from  such  participation,  be 
subject  to  the  rules  for  the  dissemination  of  the  research  results  from  the 
specific  programmes  of  RTD  of  the  Community,  and  the  Annex  to  this 
Agreement. 

Research entities established in the Community, taking part in South African 
RTD  projects,  shall, as  regards  ownership,  dissemination  and  utilization  of 
information and intellectual property arising from such participation, have the 
same  rights and obligations as those of South African  research  entities,  and 
be  subject  to  the  Annex  to  this  Agreement. 

a 

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 
South  Africa. 

ARTICLE  11 

Entry  into  Force;  Termination;  Settlement  of  Disputes 

(a)  This Agreement  shall enter  into force  on the  date  on which  the  Parties 
have  notified  each  other  in  writing  that  their  legal  requirements  have 
been  fulfilled. 

(b)  This  Agreement  shall  be  concluded  for  the  duration  of  the  Fourth 
Framework  Programme  and will  be renewable  by  common  agreement 
between  the  Parties  (tacit  renewal)  for  the  specific  programmes 
implementing  subsequent  Framework  Programmes  of the  Community. 

(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  legal  requirements  have 
been  fulfilled. 

(d)  This  Agreement  may  be  terminated  at  any  time  by  either  Party  upon 
a  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  between  the  Parties  by  mutual 
agreement. 

ARTICLE  12 

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. 

For  the  Council  of  the  European  Union 

For  the  Government  of  the  Republic  of  South  Africa 

i 

ANNEX  ON  THE  DISSEMINATION  AND  UTILIZATION  OF  INFORMATION 
AND  MANAGEMENT,  ALLOCATION  AND  EXERCISE  OF 
INTELLECTUAL  PROPERTY  RIGHTS 

ANNEX 

L 

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  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.  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 
In  case  of  disagreement,  which  cannot  be  resolved  by  the  agreed 
out  in  that  JTMP. 
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 thé 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. 

.M 

i 

II.  COPYRIGHT  WORKS 

Copyright  belonging  to  the  Parties  or  to  their  participants  shall  be  accorded  treatment 
consistent  with  the  Berne  Convention  (Paris  Act  1971). 

IIL  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. 

X9L 

2. 

3. 

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 
information 
Parties,  without  the  written  consent  of  the  participant(s)  to  whom  the 
is 
belongs.  These  limitations  shall  automatically  terminate  when  such  information 
disclosed  by  the  owner,  without  restriction,  to  experts  in  the  field. 

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. 

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. 

Ai 

i 

APPENDIX 

INDICATIVE  FEATURES  OF  A 
JOINT TECHNOLOGY  MANAGEMENT  PLAN  (JTMP) 

The  JTMP  is part  of the  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. 

t<< 

ft 

FINANCIAL  STATEMENT 

1.  Title of  the operation 

International  scientific  cooperation  :  cooperation  agreement  in  science  and  technology  with  the 
Republic of  South  Africa. 

2.  Relevant  budget  headings 

Travel costs for  EC officials  and EC experts will be charged  to the specific  budget headings of  the 
programmes  within  the  Community  RTD  IV  Framework  Programme/EC  part. 

3.  Legal  basis 

Article  130i and  130m  in  conjunction  with  Article 228 of  the  EC  Treaty. 
Council and Parliament Decisions  1110/94/EC of 26 April  1994 and 616/96/CEof 25 March  1996. 

4.  Description  of  the operation 

4.1. 

Specific  objectives  of  the operation 

The essential  objective  is to stimulate  RTD cooperation  between  the EC and  South  Africa  in  terms 
of  research  projects  covered  by  the  Framework  Programme. 

4.2.  Duration 

The agreement  shall be concluded  for  the duration of the Framework  Programme  (1994-1998) and 
will  be  renewable  by  common  agreement  between  the  parties  (tacit  renewal)  for  all  the  specific 
programmes implementing  subsequent  Framework  Programmes.  It may be terminated  at any time 
by  either  Party  upon  a  six  months'  written  notice. 

5.  Classification  of  the  expenditure 

5.1.  Non-compulsory  expenditure 

5.2.  Differentiated  appropriations 

6.  Type of  expenditure 

Financing  missions to South  Africa  by Commission  officials;  organization  of  workshops,  seminars 
and  meetings  in  Europe and  South  Africa. 

AK~ 

7.  Financial  impact 

7.1.  Method  of  calculating  the total  annual  cost  of  the operation  (estimate) 

a.  Preparatory  activities,  review  of  the cooperation  :  meetings of  the Joint  Science and 
Technology  Cooperation  Committee,  exchange  of  information,  visits  of  officials  and 
50.000  Ecus 
experts  to  South  Africa 

b.  Scientific  and  technical  workshops/meetings 

60.000  Ecus 

Total  : 

110.000  Ecus/year 

7.2. 

Indicative  multi-annual  schedules  (MECU) 

FP IV-EC 

1995 

1996 

1997 

1998 

1999  + 

2000  + 

TOTAL 

Commitments 

2599,467 

2836,804 

3164,853 

3162,876 

-

-

11764,000 

Payments 

694,567 

2010,940 

2402,509 

3284,733 

2054,287 

1316,964 

11764,000 

8.  Anti-fraud  measures 

There  are  many  administrative  and  financial  controls  at  each  stage  of  the  signature  and 
implementation  of  research  contracts.  Among  these controls  are  the  following  : 

At  the  stage prior  to the  conclusion 

Initial  selection  of  proposals based  on  the  scientific  merit  of  the project  and  on  the  realism  of 
research  costs  relative  to  the content,  duration  of  the project  and  its potential  implications. 

-  Analysis  of  financial  details  submitted  by  the proposers  in  the contract  negotiation  form. 

After  signature  of  the  contract 

-  Examination  of  expenditure  at  a  number  of  levels  (financial  officer,  scientific  officer)  before 

payment. 

- 

Internal  audit  performed  by  the Financial  Controller. 

-  On-site audit,  which should allow the detection of errors and other irregularities by examination 
of supporting  documents.  In order  to improve the efficiency  of these controls,  the Commission 
services  have  established  an  audit  unit  which  coordinates  all  controls  taking  place.  These 
controls  are  carried  out  either  by  members  of  this audit  unit or  by  audit  firms  with  which  the 
Commission  has concluded  a contract,  under  the supervision  of personnel  from  this audit  unit. 

-  On  the spot  inspections  made by the  Financial  Controller  of the Commission  and  by  the Court 

of  Auditors  of  the  European  Union. 

AG 

9.  Cost-effectiveness  analysis 

9.1. 

Specific  objectives,  target  population 

- 

the agreement  is designed  to enable the Community  and  South  Africa  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 South African  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  South  African  research 
projects; 

-  beneficiaries  in the EC and South  Africa  will be the scientific  communities, the industrial sector 

and  the general  public,  thanks  to the direct  and  indirect  effects  of  cooperation. 

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 
South  Africa  in certain  specific  programmes  and  administrative expenditure  on  the European  side 
(missions  by Community  officials,  organization  of  seminars in the Community  and  South  Africa). 

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  programmes. 

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. 

10. 

Implications  for  administrative  expenditure 

-  The Commission  is not requesting  any  additional  posts for  the  management  of the  Agreement. 
-  No  officials  are being  specifically  assigned  to  manage  the  Agreement.  Cooperation  activities 
and  the  implementation  of  the  Agreement  will  be  managed  by  the  staff  authorized  for  the 
specific  programmes  under  the  present  Framework  Programme  and  possible  subsequent 
Framework  Programmes. 

M 

ISSN 0254-1475 

COM(96) 423 final 

DOCUMENTS 

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Catalogue number  : CB-CO-96-418-EN-C 

ISBN 92-78-07898-0 

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