Cooperation Agreement between the European Atomic Energy Community and the Republic of Kazakhstan in the field of nuclear safety
Date: 1999-07-19
Institutions: European Atomic Energy Community, Kazakhstan
Subjects: EAEC, Kazakhstan, cooperation agreement (EU), nuclear safety, scientific cooperation

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between the European Atomic Energy Community and the Republic of Kazakhstan in the field of
nuclear safety

COOPERATION AGREEMENT

THE EUROPEAN ATOMIC ENERGY COMMUNITY,

hereinafter referred to as ‘The Community’,

of the one part, and

the REPUBLIC OF KAZAKHSTAN,

hereinafter referred to as ‘Kazakhstan’,

of the other part,

both also generally referred to hereinafter as the ‘Party’ or ‘Parties’, as appropriate,

RECALLING that a Partnership and Cooperation Agreement between the European Communities and their Member
States, on the one part, and the Republic of Kazakhstan, on the other part, was signed on 23 January 1995;

RECALLING that Kazakhstan and the Member States are Parties to the Treaty on the non-proliferation of nuclear
weapons and members of the International Atomic Energy Agency;

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

RECALLING that protection of the environment and cooperating in this connection with third parties at Community
level are of importance;

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 safe-
guards for nuclear materials, and intends to develop scientific and technological cooperation with third countries on
these subjects with a view to contributing towards internationally accepted nuclear safety principles and guidelines;

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

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

RECOGNISING that the future contribution of nuclear energy to meet the energy needs of Kazakhstan and of the Com-
munity, with due consideration for diversification, the economy, the environment and population in general also
depends on developing satisfactory answers to the safety related issues aforementioned;

MINDFUL of the various forms of coordinated action on nuclear safety envisaged by the Community and Kazakhstan,

HAVE AGREED AS FOLLOWS:

Article 1

(b) R a di a t i on p r ot e c ti o n

this Agreement

shall be for peaceful
Cooperation under
purposes only and shall, on the basis of mutual benefit, contri-
bute to the improvement of nuclear safety, including the defini-
tion and application of scientifically warranted and internation-
ally accepted nuclear safety guidelines.

Research, regulatory aspects, development of safety stan-
dards, public information, training and education. Particular
attention shall be paid to the study of low-dose effects and
of remedying contaminated areas, to industrial and medical
exposure and post-accident management.

Article 2

The Parties shall endeavour to promote cooperation in the
following areas.

(a) R e a c t or sa f e t y r e s e a r c h

Review and analysis of safety issues; identification of appro-
priate techniques to improve reactor safety,
inter alia, on
the basis of research and development and evaluation
studies on nuclear reactors in operation and planned.

(c) Nuc le a r w aste manag e me nt

Assessment and optimisation of geological disposal, scien-
tific aspects of the management of long life waste and stra-
tegies concerning site recovery.

(d) De c ommi ssi o ni ng ,

de c o nta mi n a ti o n

a nd

d i s m a n t li n g of nu c l e a r i n st a ll a t i ons

for decommissioning, decontamination,

Strategies
and
dismantling nuclear installations, in particular radiological
aspects.

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(e) R e se a r c h a n d de ve lop me nt on sa fe g u a r ds of

nu cle a r mater i a l

Development and evaluation of nuclear material measure-
ment techniques and characterisation of reference materials
for safeguard activities and development of the systems of
accounting for and control of nuclear materials.

(f) Pr e ve nti on of i lli c i t tr a ffi cki ng of nu c le a r ma t e -

r i a l

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

Article 3

Cooperation under this Agreement shall be in accordance
2.
with the laws and regulations in force as well as with the inter-
national agreements entered into by the Parties.

Each Party shall use its best endeavours, within the frame-
3.
work 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 cooperation.

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

1.

Cooperation shall be implemented in particular through:

Article 6

— exchange of technical

information by means of reports,

visits, seminars, technical meetings, etc.,

— exchange of personnel

including for

training purposes
between laboratories and/or bodies involved on both sides;
this cooperation may also take place between persons and
undertakings established in the respective territories of the
Parties,

— 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
cooperation 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 finan-
cing provisions, assignment of management responsibilities and
detailed provisions on dissemination of information and intel-
lectual property rights.

3.
In order to minimise 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

Each Party's obligations under this Agreement shall be

1.
subject to the availability of the required funds.

All costs resulting from cooperation shall be borne by the

2.
Party that incurs them.

The financing of industrial activities shall be excluded

3.
from the scope of this Agreement.

Utilisation and diffusion of information and intellectual prop-
erty rights including industrial property, patents and copyrights
connected with the cooperation activities under this Agreement
shall be in accordance with the Annexes, which form an inte-
gral part of this Agreement.

Article 7

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

Article 8

A Coordinating Committee

1.
consisting of members
appointed in equal numbers by the two Parties shall be estab-
lished to supervise the implementation of this Agreement.

The Coordinating Committee shall meet as needed, alter-
for regular

2.
nately in the Community and in Kazakhstan,
sessions in order to:

— review and assess the cooperation 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.

3.
If mutually agreeable, extraordinary sessions may be held
for dealing with particular topics, or in particular circum-
stances.

Article 9

Article 5

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

This Agreement shall enter into force on the date which
1.
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 (1).

(1) This Agreement entered into force on 1 June 2003.

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Thereafter, this Agreement shall be automatically renewed
2.
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.

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

Termination of this Agreement shall not affect rights and

4.
obligations under Article 6.

Article 10

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

Hecho en Bruselas, el diecinueve de julio de mil novecientos noventa y nueve.

Udfærdiget i Bruxelles, den nittende juli nitten hundrede og nioghalvfems.

Geschehen zu Brüssel am neunzehnten Juli neunzehnhundertneunundneunzig.
Έγινε στις Βρυξέλλες, στις δεκαεννέα Ιουλίου χίλια εννιακόσια ενενήντα εννέα.

Done at Brussels on the nineteenth day of July in the year one thousand nine hundred and ninety-nine.

Fait à Bruxelles, le dix-neuf juillet mil neuf cent quatre-vingt-dix-neuf.

Fatto a Bruxelles, addì diciannove luglio millenovecentonovantanove.

Gedaan te Brussel, de negentiende juli negentienhonderdnegenennegentig.

Feito em Bruxelas, em dezanove de Julho de mil novecentos e noventa e nove.

Tehty Brysselissä yhdeksäntenätoista päivänä heinäkuuta vuonna tuhatyhdeksänsataayhdeksänkymmentäyh-
deksän.

Utfärdat i Bryssel den nittonde juli nittonhundranittionio.

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Por la Comunidad Europea de la Energía Atómica

For Det Europæiske Atomenergifællesskab

Für die Europäische Atomgemeinschaft

Για την Ευρωπαϊκή Κοινότητα Ατοµικής Ενέργειας

For the European Atomic Energy Community

Pour la Communauté européenne de l'Énergie atomique

Per la Comunità europea dell'energia atomica

Voor de Europese Gemeenschap voor Atoomenergie

Pela Comunidade Europeia da Energia Atómica

Euroopan atomienergiayhteisön puolesta

På Europeiska atomenergigemenskapens vägnar

Por la República de Kazajistán

For Republikken Kasakhstan

Für die Republik Kasachstan

Για τη ∆ηµοκρατία του Καζακστάν

For the Republic of Kazakhstan

Pour la République du Kazakhstan

Per la Repubblica del Kazakistan

Voor de Republiek Kazachstan

Pela República do Cazaquistão

Kazakstanin tasavallan puolesta

På Republiken Kazakstans vägnar

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ANNEX I

GUIDING PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS (*) RESULTING
FROM JOINT RESEARCH UNDER THE COOPERATION AGREEMENT IN THE FIELD OF NUCLEAR SAFETY

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 cooperation 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 tech-
nology 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 manage-
ment 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 particu-
lar:

(i) the dissemination and use of information created, disclosed, or otherwise made available, under the Agree-

ment;

(ii) the adoption and implementation of international standards.

II. COPYRIGHT WORKS

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

III. 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 proce-
dures 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 cooperative support of the Parties.

(*) 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.

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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 configura-
tion 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.

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 ensuing privileged nature
is readily recognisable as such by the other Party, for example by means of an appropriate marking or restric-
tive 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 authorised for the specific purposes of the joint research under way, provided that any undi-
sclosed information so disseminated shall be pursuant to an agreement of confidentiality and shall be readily
recognisable 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 para-
graph 3. 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 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 docu-
mentary information in the Agreement, provided, however, that the recipient of such undisclosed or other confi-
dential or privileged information has been made aware of the confidential character of the information commu-
nicated at the time such communication is made.

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

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ANNEX II

DEFINITIONS

1. INTELLECTUAL PROPERTY: shall have the meaning found in Article 2 of the Convention establishing the World

Intellectual Property Organisation, 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 implemented and/or funded by the joint contributions of the Parties and with collabora-

tion from participants of both Parties, where appropriate.

4. INFORMATION: scientific or technical date, 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.

ANNEX III

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 IP, 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.