Proposal for a COUNCIL DECISION concluding the Agreement for scientific and technological cooperation between the European Community and the Republic of South Africa
Date: 1997-03-25
Institutions: European Commission
Subjects: South Africa, cooperation agreement (EU), scientific cooperation, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  25.03.1997 
COM(97)  119 final 

97/0112(CNS) 

Proposal  for a 

COUNCIL  DECISION 

concluding  the  Agreement  for  scientific  and  technological  cooperation 

between  the  European  Community  and  the Republic  of  South  Africa 

(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 the Republic 
of  South  Africa 

On 22 January  1996, the Council authorized  the Commission  to negotiate an Agreement  for 
scientific and technological cooperation between the European  Community and the Republic 
of  South  Africa. 

2. 

The results  of  these negotiations  were approved  by the Commission  on 4 September  1996 
(COM(96)423final)  and  transmitted 
the  Secretary-General, 
Mr  Williamson,  dated  4 September  1996) proposing  that  the Council  : 

to  Council  (letter  from 

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 5 December  1996,  the Council  decided  that the Agreement  be signed  on behalf  of  the 
Community.  Signing  took place in  Brussels,  on  5 December  1996. 

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  the Republic of  South  Africa;  and 
give  notification  to the South  African  authorities  that  the procedures  necessary  for 
the  entry  into  force  of  the  Agreement  have  been  completed  on  the  part  of  the 
European  Community. 

Proposal  for a 

COUNCIL  DECISION 

concluding  the  Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community  and  the Republic of South  Africa 

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),  first  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  (2), 

WHEREAS  the European  Community  and  South  Africa  are pursuing  specific  RTD  programmes 
in areas  of  common  interest; 

WHEREAS on the basis of past experience, both sides have expressed a desire to establish a deeper 
and broader  framework  for  the conduct of  collaboration  in  science and  technology; 

WHEREAS  this  cooperation  agreement  in  the field of  science  and  technology  forms  part  of  the 
global  cooperation  between  the  Community  and  its  Member-States,  on  the one  hand,  and  South 
Africa,  on  the other  hand; 

WHEREAS  by  its  Decision  of  22  January  1996,  the  Council  authorized  the  Commission  to 
negotiate  an  agreement  for  scientific  and  technological  cooperation  between  the  European 
Community  and  the Republic of  South  Africa; 

WHEREAS  by  its  Decision  of  5  December  1996,  the  Council  decided  that  the  Agreement  for 
scientific  and  technological  cooperation  be  signed  on  behalf  of  the European  Community3; 

WHEREAS 
5  December  1996; 

the  Agreement  for  scientific  and 

technological  cooperation  was  signed  on 

WHEREAS  the  Agreement  for  scientific  and  technological  cooperation  between  the  EC  and  the 
Republic of  South  Africa  should  be approved, 

1  O.J. N° 

:  O.J. N° 

(  O.J.  NT 

ol 

HAS DECIDED  AS FOLLOWS 

Article 1 

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

Article 2 

Pursuant  to Article  11 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 

2> 

ON SCIENTIFIC  AND TECHNOLOGICAL  COOPERATION  BETWEEN 

AGREEMENT 

THE EUROPEAN  COMMUNITY 

AND THE REPUBLIC OF SOUTH AFRICA 

4 

THE  EUROPEAN  COMMUNITY  (hereinafter  "the  Community"),  on  the  one  hand, 

and 

THE  GOVERNMENT  OF  THE  REPUBLIC  OF  SOUTH  AFRICA  acting  on  behalf  of  the 

Republic  of  South  Africa  (hereinafter  "South  Africa"),  on  the  other  hand 

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  this  scientific  and  technological  cooperation  Agreement  forms  part  of  the  global 

cooperation  between  the  Community  and  its  Member  States,  on  the  one  hand,  and 

South  Africa,  on  the  other  hand; 

/r 

WHEREAS,  by  Decision  No  1  110/94/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"; 

WHEREAS,  without  prejudice  to  the  relevant  provisions  of  the  Treaty  establishing  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. 

Ç 

ARTICLE  2 

Definitions 

For  the  purposes  of  this  Agreement: 

(a) 

"Cooperative  activity"  means  any  activity  carried  out  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,  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; 

(e) 

"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. 

T-

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  C); 

(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; 

) 

Council  Decision  9 4 / / ( ) 3 /l  C  of  2 1  November  1 9 94  c o n c e r n i ng  the  rules  for  the 
participation  of  undertakings,  research  centres  and  universities  in  the  research, 
technological  development  iMui  d e m o n s t r a t i on  activities  of  the  European  C o m m u n i ty 
(OJ  No  t.  3 0 6,  30.1  1 . 1 9 9 4,  p.  8). 

9 

(e) 

scientific  networks  and  training  of  researchers; 

(f) 

exchange  of  information  on  practices,  laws,  regulations  and  programmes  relevant  to 

cooperation  under  this  Agreement; 

(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. 

h 

(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. 

(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. 

/I 

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. 

Il 

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. 

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. 

/3 

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  fulfiWed. 

(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. 

N 

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. 

I? 

ANNEX 

ANNEX  ON  THE  DISSEMINATION  AND  UTILIZATION  OF  INFORMATION 

AND  MANAGEMENT,  ALLOCATION  AND  EXERCISE  OF 

INTELLECTUAL  PROPERTY  RIGHTS 

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. 

(')  The  indicative  features  of  such  JTMPs  are  set  out  in  the  Appendix. 

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. 

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). 

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. 

/f 

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; 

'9 

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. 

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. 

» £0 

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. 

S2L 

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  rese'archers  and 

dispute  settlement  procedures.  The  JTMP  may  also  address  foreground  and  background 

information,  the  rules  governing  disclosure  of  undisclosed  information,  licensing  and 

deliverables. 

£2 

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/EC of 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  RTD 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. 

JM 

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/vear 

7.2. 

Indicative  multi-annual  schedules  (MECU) 

1997 

1998 

1999  + 

2000  + 

Commitments 

Payments 

0.1 

0.1 

0.1 

0.1 

0.1 

0.1 

0.1 

0.1 

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. 

Jb-f 

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. 

âï 

ISSN 0254-1475 

COM(97) 119  final 

DOCUMENTS 

EN 

15  11 

Catalogue  number  :  CB-CO-97-109-EN-C 

ISBN 92-78-17189-1 

Office  for Official Publications of the European Communities 

L-2985 Luxembourg 

J*