Proposal for a COUNCIL DECISION approving the conclusion by the Commission of a cooperation agreement between the European Atomic Energy Community and the Republic of Kazakstan in the field of nuclear safety
Date: 1996-11-12
Institutions: European Commission
Subjects: EAEC, Kazakhstan, Russia, environmental protection, nuclear safety

COMMISSION OF THE EUROPEAN  COMMUNITIES 

Brussels,  12.11.1996 
COM(%) 572  final 

Proposal  for a 

COUNCIL DECISION 

approving the Conclusion by the Commission of a cooperation agreement between the 
European Atomic Energy Community and the Republic of Kazakstan in the field of 
nuclear safety 

(presented by the Commission) 

EXPLANATORY  MEMORANDUM 

1. By Decision of 17 June 1991 the Council authorised the Commission to negotiate an 
agreement for cooperation with the Soviet Union on nuclear safety. Following the 
dissolution of the Soviet Union negotiations continued at first solely with the Russian 
Federation. By decision of 22 December  1994 the Council authorised the Commission to 
conclude a cooperation agreement on nuclear safety with the Russian Federation. 

2. The Community considered it appropriate to complement the negotiation of the nuclear 
safety agreement with Russia with similar agreements with other successor States of the 
Soviet Union. Accordingly by Decision of 9 June 1995 the Council issued Directives to 
the Commission for the negotiation inter alia of a bilateral agreement for cooperation with 
Kazakstan on nuclear safety. 

3. In subsequent negotiations with Kazakstan an understanding was reached on a text 
equivalent in scope and content to the one negotiated with the Russian Federation. The 
text is in full accordance with the Council's directives. 

4. On the basis of mutual benefit, the aim of the agreement would be to contribute to the 
improvement of nuclear safety in the areas of reactor safety research, radiation protection, 
nuclear waste management, decommissioning, decontamination and dismantling of nuclear 
installations and R&D on safeguards of nuclear material. 

5. Kazakstan has acceded to the NPT (Treaty on the Non-Proliferation of Nuclear 
Weapons) and has signed a full scope safeguards agreement with the IAEA that is in 
effect. 

6. The Commission therefore proposes that the Council adopts the annexed decision 
which approves the conclusion of the above mentioned agreement for  cooperation 
between EURATOM and Kazakstan in the field of nuclear safety. 

Proposal for a 
COUNCIL  DECISION 

approving the conclusion by the Commission of a cooperation agreement between the 
European Atomic Energy Community and the Republic of Kazakstan in the field of 
nuclear safety 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Atomic Energy Community, and in 
particular Article  101 (2) thereof, 

Having regard to the Agreement on Partnership and Cooperation signed on 23 January 
1995 by the European Union and Kazakstan expressing the desire to establish a close 
cooperation inter alia in the area of nuclear safety. 

Having regard to the Council's decision of 09 June  1995 issuing directives to the 
Commission for the negotiation of a bilateral agreement for cooperation between the 
European Atomic Energy Community and Kazakstan on nuclear safety, 

Whereas the agreement set out in the annex to this Decision is in accordance with the 
negotiating directives referred to above and achieves a balance which corresponds to the 
concept of mutual benefit, 

HAS DECIDED AS FOLLOWS: 

Sole Article 

The conclusion by the Commission of a cooperation agreement between the European 
Atomic Energy Community and the Republic of Kasakstan in the field of nuclear safety is 
hereby approved. 

Done at Brussels, 

For the Council 
The President 

AGREEMENT FOR CQ-QPERATIQN 
BETWEEN THE EUROPEAN ATOMIC ENERGY COMMUNITY AND 
THE REPUBLIC OF KAZAKSTAN IN THE HELD OE NUCLEAR SAFETY 

The  European  Atomic  Energy  Community, 
to  as  "the 
Community";  of  the one part,  and the Republic  of  Kazakstan,  hereinafter  referred  to 
as  "Kazakstan",  of  the  other  part,  both  also  generally  referred  to  hereinafter  as  the 
"Party" or "Parties", as appropriate, 

hereinafter 

referred 

RECALLING  that  an  Agreement  on  Partnership  and  Cooperation  was  signed  on  23 
January  1995 by the European Union and Kazakstan; 

RECALLING that the Commission of the European Communities,  hereinafter  referred 
to  as  "the Commission",  has  responsibilities,  inter  alia,  for  laying  down  basic 
standards  for  radiation  protection,  and  for  ensuring  their  implementation,  and  for 
collecting and monitoring radiation data at Community level; 

RECALLING that the Commission is charged with implementing  Commumty action to 
protect the environment and with co-operating in this connection with third parties; 

CONSIDERING  that the  Commission  implements  a Community  research  programme 
in nuclear safety,  including reactor safety,  radiation protection,  waste management and 
nuclear  plant  decommissioning  and  dismantling,  as  well  as  in  safeguards  for  nuclear 
materials,  and  intends  to  develop  scientific  and  technological  co-operation  with third 
countries on these subjects with a view to contributing towards internationally  accepted 
nuclear safety principles and guidelines; 

CONSIDERING  that  Kazakstan  operates  a  nuclear  power  plant  and  three  powerful 
research  reactors  which  could  be  used  as  a  apart  of  a  research  and  development 
programme to increase the safety of nuclear power plants; 

CONSIDERING  that large  areas of  Kazakstan have been contaminated  by  radioactive 
fall-out and a significant  remediation effort  will be required in these areas; 

RECALLING  that Kazakstan1 s regulatory  activity  for  the nuclear sector  is  intended to 
ensure  the  protection  of  the  environment  and  population  in  general,  as  well  as  the 
protection  of  workers,  against  radiation  on  the  basis  of  internationally  accepted 
guidelines and principles; 

RECOGNIZING  that  the  future  contribution  of  nuclear  energy  to  meet  the  energy 
needs  of  Kazakstan  and  of  Europe  as  a  whole,  with  due  consideration  for 
diversification,  the  economy  and  the  environment,  also  depends  on  developing 
satisfactory  answers to the safety related issues aforementioned; 

MINDFUL of the various forms  of co-ordinated  action on nuclear safety  envisaged by 
the Community and Kazakstan, 

HAVE AGREED AS FOLLOWS: 

Article 1 

Co-operation under this Agreement  shall,  on the basis of  mutual benefit,  contribute to 
the  improvement  of  nuclear  safety,  including  the  definition  and  application  of 
scientifically  warranted and internationally accepted nuclear safety guidelines. 

Arlkk_2 

The Parties will endeavour to promote co-operation in the following areas: 

(a)  Reactor safety research 

Review  and  analysis  of  safety  issues;  identification  of  appropriate  techniques  to 
improve reactor safety  including through research and development  and evaluation 
studies on nuclear reactors in operation and planned. 

(b)  Radiation protection 

Research,  regulatory  aspects,  development of  safety  standards, public  information, 
training  and  education,  particular  attention 
shall  be  paid  to  low-dose  effects, 
industrial exposures and post-accident management. 

(c)  Nuclear waste management 

Managment of radioactive wastes including remediation of contaminated areas 
managment and disposal of long-lived radioactive wastes. 

(d)  Decommissioning, decontamination and dismantling of nuclear installations 

Strategies  for  decommissioning  and  dismantling  nuclear  installations,  including 
radiological aspects. 

(e)  Research and development on safeguards of nuclear material 

Development  and  evaluation  of  nuclear  material  measurement  techniques  and 
characterization of reference  materials for safeguards  activities and development of 
the systems of accounting for and control of nuclear materials. 

(f)  Prevention of illicit trafficking  of nuclear material 

Cooperation shall relate to the promotion of methods and techniques of control of 
nuclear material. 

1.  Co-operation shall be implemented in particular through: 

Article 3 

-  exchange of technical information by means of reports, visits,  seminars, technical 

meetings, etc.; 

-  exchange of personnel between laboratories and/or bodies involved on both sides, 

including for training purposes; 

-  exchange  of  samples,  materials,  instruments  and  apparatus  for  experimental 

purposes; 

-  balanced participation in joint studies and activities. 

2.  To the extent necessary,  implementing arrangements to set out the scope, terms and 
conditions  to  implement  specific  co-operation  activities,  may  be  entered  into  by  the 
Parties  and/or  by  bodies  which  either  Party  may  eventually  entrust  with  the 
aforementioned activities. 

Such  implementing  arrangements  may, 
inter  alia,  cover  financing  provisions, 
assignment of management responsibilities  and detailed provisions  on dissemination of 
information and intellectual property rights. 

3. 
In  order  to  minimize  duplication  of  efforts,  the  Parties  shall  coordinate  their 
activities  under  this  Agreement  with  other  international  activities  related  to  nuclear 
safety  in which they are participants. 

Article 4 

1.  Each Party's obligations under this Agreement shall be subject to the availability  of 
the required funds. 

2.  All costs resulting from co-operation shall be borne by the Party that incurs them. 

3.  The  financing  of  industrial  activities  shall  be  excluded  from  the  scope  of  this 
Agreement. 

AtticleJ) 

1. 
In  so  far  as  the  Community  is  concerned,  this  Agreement  shall  apply  to  the 
territories  in  which  the  Treaty  establishing  the  European Atomic  Energy  Community 
applies. 

2.  Co-operation  under  this  Agreement  shall  be  in  accordance  with  the  laws  and 
regulations in force. 

3.  Each  Party  shall  use  its  best  endeavours,  within  the  framework  of  the  laws  and 
regulations  applicable,  to  facilitate  the  accomplishment  of  formalities  involved  in the 
movement  of  persons,  the  transfer  of  materials  and  equipment  and  the  transfer  of 
currency required to conduct the co-operation. 

4.  Compensation  for  damages  incurred during  the  implementation  of  this  Agreement 
shall be in accordance with the laws and regulations applicable. 

Attkte_£ 

Treatment  of  information,  industrial  property  and  copyright  connected  with  the 
co-operation activities under this  Agreement  shall be  in accordance  with the Annexes, 
which form an integral part of this Agreement. 

Article 7 

Subject to the laws  and regulations  applicable,  the Parties  shall endeavour to settle all 
questions connected with this Agreement through consultations between themselves. 

Anicje_& 

1.  A  Co-ordinating  Committee  consisting  of  members  appointed  in equal  number by 
the two Parties shall be established to supervise the implementation of this Agreement. 

2.  The  Co-ordinating  Committee  shall  meet each year,  alternately  in the Community 
and in Kazakstan, for regular sessions in order to: 

- review  and assess the state of co-operation under this Agreement  and prepare annual 

reports thereon; 

-determine  by  mutual  agreement  the  specific  tasks  to  be  undertaken  under  this 
Agreement,  without prejudice to the taking of autonomous decisions by the Parties on 
their respective programmes. 

If  mutually  agreeable,  extraordinary  sessions  may  be  held  for  dealing  with 

3. 
particular topics, or in particular circumstances. 

AtiicIeJ? 

1.  This Agreement shall enter into force on the date which the Parties, by an exchange 
of  diplomatic  notes,  specify  for  its  entry  into  force  and  shall  remain  in  force  for  an 
initial period of  10 years. 

2.  Thereafter,  this  Agreement  shall  be  automatically  renewed  for  five-year  periods, 
unless either Party, by written notice,  requests its termination or renegotiation not later 
than six months prior to the expiry date. 

3.  In the event of termination or renegotiation,  this Agreement shall remain in force in 
its previous  form with respect to co-operation activities  effectively  entered  into  prior 
to  the  request  for  termination  or  renegotiation  until  the  end  of  such  activities  and 
relative  implementing  arrangements  or  for  one  calendar  year  after  the  expiry  of  this 
Agreement in its previous form, whichever is the earlier. 

4.  Termination of  this  Agreement  shall not affect  rights and obligations under Article 
6. 

Article 10 

This Agreement shall be drawn up in duplicate in the Danish, Dutch, English, Finnish, 
French,  German,  Greek,  Italian,  Portuguese,  Russian,  Spanish,  Swedish  languages, 
each text being equally authentic. 

Done at 

on 

For the European Atomic 
Energy Commumty 

For the Government of the 
Republic of Kazakstan 

ANNEX I 

GUIDING PRINCIPLES ON THE ALLOCATION OF 
INTELLECTUAL PROPERTY RIGHTS (  ï RESULTING FROM 
JOINT RESEARCH UNDER 
THE AGREEMENT FOR CO-OPERATION 
IN THE PEACEFUL USES OF NUCLEAR ENERGY 

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) ( 
)  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  R&D  co-operation 
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  laws  applicable  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 joint technology management plans. 

2.  Information  or IP created  in the course  of joint  research  and not  addressed  in the 
technology  management  plan  shall  be  allocated,  with  the  approval  of  the  Parties, 
according  to  the  principles  set  out  in  the  technology  management  plan.  In  case  of 
disagreement,  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 to them in accordance with these principles. 

4.  While maintaining the conditions of competition in areas affected  by the agreement 
each Party  shall  endeavour  to  ensure  that rights  acquired  pursuant  to  this  Agreement 
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. 

(  ) 

** 
(  ) 

Definitions  of  the  concepts  referred  to  in  these  guiding 

principles are set out in Annex II. 

The  indicative  features  of  such  TMPs  are  set  out  in 

Annex III. 

9 

IL  COPYRIGHT WORKS 

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

m. SCIENTIFIC LITERARY WORKS 

Without prejudice  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 the foregoing  general rule, the following  procedures shall 
apply: 

1.  In the case  of publication by a Party  or public bodies  of  that Party  of  scientific 
and  technical  journals,  articles,  reports,  books,  including  video  and  software, 
arising from joint  research pursuant to 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  pursuant  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(s)  of  the work unless  an author 
or  authors  expressly  declines  or  decline  to  be  named.  They  shall  also  bear a 
clearly visible acknowledgement of the co-operative support of the Parties. 

IV.  UNDISCLOSED  INFORMATION 

A.  Documentary undisclosed  information 

1.  Each  Party  or  its  participants,  as  appropriate,  shall  identify  at the  earliest 
possible  moment  and  preferably  in  the  technology  management  plan  the 
information  that  it  wishes  to  remain  undisclosed  in  relation  to  this 
Agreement,  taking account inter alia of 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. 

10 

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 the  Agreement  may  not 
be disclosed. 

2.  Each Party  shall  ensure that undisclosed  information under this  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. 

A  Party receiving  undisclosed  information pursuant to the Agreement  shall 
respect the privileged  nature thereof.  These  limitations  shall  automatically 
terminate  when  this  information  is  disclosed  by  the  owner  without 
restriction to experts in the field. 

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

4.  With  the  prior  written  consent  of  the  Party  providing  undisclosed 
information  under  this  Agreement,  the  receiving  Party  may  disseminate 
such  undisclosed  information  more  widely  than  otherwise  permitted  in 
paragraph 3  above.  The  Parties  shall  co-operate  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  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 
principle  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. 

11 

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  paragraphs A 
and B  above,  it  shall  immediately  inform  the  other  Party.  The  Parties  shall 
thereafter consult to define an appropriate course of action. 

12 

ANNEX II 

DEFINITIONS 

1.  INTELLECTUAL  PROPERTY:  shall  have  the  meaning  found  in  Article 2  of  the 
Convention  establishing  the  World  Intellectual  Property  Organization,  done  at 
Stockholm on 14 July 1967. 

2.  PARTICIPANT:  any  natural  or  legal  person,  including  the  parties  themselves, 

participating in a project under this Agreement. 

3.  JOINT  RESEARCH:  research 

the  joint 
contributions  of  the  Parties  and  with  collaboration  from  participants  of  both 
Parties, where appropriate. 

implemented  and/or 

funded  by 

4.  INFORMATION:  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. 

13 

ANNEX HI 

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  IPR,  the  TMP  will  normally  address,  inter alia: 
ownership,  protection,  user  rights  for  R&D 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. 

14 

ISSN 0254-1475 

COM(96) 572 final 

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