Proposal for a Council Decision concerning the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Republic of India
Date: 2001-07-30
Institutions: European Commission
Subjects: India, cooperation agreement (EU), innovation, scientific cooperation

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Proposal for a Council Decision concerning the conclusion of the Agreement for scientific and
technological cooperation between the European Community and the Republic of India

(2001/C 304 E/17)

COM(2001) 448 final (cid:151) 2001/0175(CNS)

(Submitted by the Commission on 30 July 2001)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 170,
in conjunction
with the first sentence of the first subparagraph of Article
300(2) and the first subparagraph of Article 300(3) thereof,

Having regard to the proposal from the Commission,

(5) By its Decision of 12 February 2001, the Council auth-
orised the Commission to negotiate an agreement
for
scientific
cooperation between the
European Community and the Republic of India.

and technological

(6) By its Decision of . . . 2001, the Council decided that the
European

signed on behalf of

the

Agreement be
Community.

Having regard to the Opinion of the European Parliament,

(7) The Agreement was signed on . . . 2001.

Whereas:

(1) A cooperation Agreement between the European Economic
Community and the Republic of India on Partnership and
Development was signed on 20 December 1993 (1).

(2) The European Community and the Republic of India are
pursuing specific RTD programmes in areas of common
interest.

(3) 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.

(4) This cooperation agreement in the field of science and
technology forms part of the global cooperation between
the European Community and the Republic of India.

(8) The Agreement should be approved,

HAS DECIDED AS FOLLOWS:

Article 1

The Agreement
for scientific and technological cooperation
between the European Community and the Republic of India
is hereby approved on behalf of the Community.

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 notify the Republic of India that the procedures
necessary for the entry into force of the Agreement have been
completed on the part of the European Community.

(1) OJ L 223, 27.8.1994, p. 23.

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AGREEMENT

for

scientific and technological cooperation between the European Community and the

Government of the Republic of India

THE EUROPEAN COMMUNITY hereinafter referred to as (cid:145)the Community(cid:146),

on the one part,

and

THE GOVERNMENT OF THE REPUBLIC OF INDIA, hereinafter referred to as (cid:145)India(cid:146) on the other part,

hereinafter referred to as the (cid:145)Parties(cid:146);

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

RECOGNISING that the Community and India are pursuing joint research and technological programmes in
a number of areas of common interest, and that mutual benefits may be derived if the Parties facilitate
further cooperation;

NOTING that there has been active cooperation and information exchange in a number of scientific and
technological areas under the Cooperation Agreement between the Community and India on Partnership
and Development signed on December 20, 1993;

HAVING REGARD to the EU-India Summit Joint Declaration agreed on 28 June 2000;

DESIRING to expand the cooperation in scientific and technological research with a view to strengthening
the conduct of cooperative activities in areas of common interest and to encourage the application of the
results of such cooperation to their economic and social benefit,

HAVE AGREED AS FOLLOWS:

Article 1

Purpose

data deemed necessary by the participants to cooperative
activities, including, as necessary, by the Parties themselves;

The Parties shall encourage and facilitate cooperative research
and development activities in science and technology fields of
common interest between the Community and India.

(c)

(cid:145)intellectual property(cid:146) shall have the meaning defined in
Article 2 of the Convention establishing the World Intel-
lectual Property Organisation, done at Stockholm, 14 July
1967;

Article 2

Definitions

For the purpose of this Agreement:

(a)

(cid:145)cooperative activity(cid:146) means any activity which the Parties
undertake or support, pursuant
to this Agreement, and
includes joint research;

(b) (cid:145)information(cid:146) means scientific or technical data, results or
methods of research and development stemming from joint
research carried out under this Agreement and any other

(d) (cid:145)joint research(cid:146) means research, technological development
or demonstration project that is implemented with financial
support from one or both Parties and that involves colla-
boration between participants from both the Community
and India and is designated as joint research in writing by
the Parties or the Executive Agents. In the case where there
is funding by only one Party the designation is made by
that Party and the participant in that project;

(e)

(cid:145)Participant(cid:146) or (cid:145)research entities(cid:146) means any person, any
academic institution, research institute or any other legal
entity or undertaking or firm established in the Community
or in India involved in cooperative activities including the
Parties themselves.

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Article 3

Principles

(cid:151) Visits and exchanges of scientists and technical experts;

Cooperation shall be conducted on the basis of the following
principles:

(cid:151) Joint organisation of Scientific Seminars, Conferences,
Symposia and Workshops, as well as participation of
experts in those activities;

(a) mutual benefit based on an overall balance of advantages;

(b) reciprocal access to the activities of research and tech-

nological development undertaken by each Party;

(c)

timely exchange of information which may affect coop-
erative activities;

(cid:151) Concerted actions for dissemination of results/exchange of
experience on joint RTD projects that have been funded,

(cid:151) Exchanges

and sharing of

equipment

and materials

including shared use of advanced research facilities;

(d) appropriate protection of intellectual property rights.

and programmes
Agreement;

relevant

(cid:151) Exchanges of

information on practices,

to cooperation under

laws, regulations
this

Article 4

Scope of cooperation

(cid:151) Any other modality that would be recommended by the
Steering Committee and deemed in conformity with the
policies and procedures applicable in both Parties.

research,

Cooperation under this Agreement may cover all the activities
technological development and demonstration,
of
hereinafter referred to as (cid:145)RTD(cid:146), included in the first activity
of the framework programme under Article 164 of the Treaty
establishing the European Community and all similar RTD
activities in India in the corresponding scientific and tech-
nological fields.

This Agreement does not affect the participation of India, as a
in Community activities in the field of
developing country,
research for development.

Article 5

Modalities of cooperation

Cooperative activities may take the following forms:

(cid:151) Participation of

Indian research entities in RTD projects
under the first activity of the framework programme and
reciprocal participation of research entities established in
the Community in Indian projects in similar sectors of
RTD. Such a participation is subject
to the rules and
procedures applicable in each Party.

(cid:151) Joint RTD Projects; the joint RTD projects shall be imple-
mented when the participants have developed a technology
management plan, as
indicated in the Annex to this
Agreement.

Article 6

Coordination and facilitation of cooperative activities

the Ministry of Science

(a) The coordination and facilitation of cooperative activities
under this Agreement shall be accomplished on behalf of
India, by
and Technology
(Department of Science & Technology) and, on behalf of
the Community, by the services of the Commission of the
European Communities (Directorate General
for Science,
Research & Development), acting as executive agents.

(b) The executive agents shall establish a Steering Committee
on S&T Cooperation, hereinafter referred to as the (cid:145)Steering
Committee(cid:146) for the management of this Agreement; this
Committee shall consist of an equal number of official
representatives of each Party and shall have Co-Chair-
persons from Parties;
it shall establish its own rules of
procedure.

(c) The functions of the Steering Committee shall include:

1. Promoting and overseeing the different cooperative
activities as mentioned in Article 4 as well as those
that would be implemented in the framework of
Community’s activities in the field of research for devel-
opment;

(cid:151) Pooling of RTD projects already implemented according to
the procedures applicable in the RTD programmes of each
Party;

2. (a) Recommending Joint RTD projects, to be sponsored
on a cost sharing basis by the Parties, received in
response to approved text of Joint Call for Proposals
issued simultaneously by the Executive Agents;

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(b) The Joint projects, which have been submitted by
the scientists of one side for participation in the
programs of
the other side, will be selected by
each Party according to the respective selection
process of each Party with possible participation of
the experts from both sides.

3. Indicating, for the following year, pursuant to Article 5,
first and second indents, among the potential sectors for
RTD cooperation, those priority sectors or subsectors of
mutual interest in which cooperation is sought;

4. Proposing, pursuant to Article 5, third indent, to the
scientists of both Parties the pooling of their projects
which would be of mutual benefit and complementary;

5. Making recommendations pursuant to Article 5, fourth

through eight indent;

6. Advising the Parties on ways to enhance and improve
cooperation consistent with the principles set out in this
Agreement;

this Agreement

7. Reviewing the efficient functioning and implementation
of
including evaluation of on-going
cooperative projects involving India as a developing
country under Community’s activities in the field of
research for development.

8. Annually providing a report to the Parties on the status,
the level reached and the effectiveness of cooperation
undertaken under this Agreement. This report will be
transmitted to the Joint Commission established in the
framework of the Cooperation Agreement between the
European Community and India on Partnership and
Development.

(d) The Steering Committee shall, as a general rule, meet
annually, preferably before the meeting of
the Joint
Commission established in the framework of the Coop-
eration Agreement between the European Community
and
and
the meetings
according to a jointly agreed schedule;
should be held alternatively in the Community and in
India. Extraordinary meetings may be organised at
the
request of either Party.

and Development,

Partnership

India

on

(e) Decisions of the Steering Committee shall be reached by
consensus. Minutes, comprising of a record of decisions
and principal points discussed, shall be taken at each

meeting. These minutes shall be agreed upon by the
designated Co-chairpersons of the Steering Committee.

(f) For the Steering Committee Meeting, the expenses on travel
and accommodation of the participants will be borne by
the Parties to whom they relate. Any other cost associated
with the Steering Committee Meeting will be borne by the
host Party.

Article 7

Funding

(a) Cooperative activities shall be subject to the availability of
appropriated funds and to the laws and regulations
(including those on tax and customs exemption) applicable
in territories of each Party and in accordance with policies
and programmes of the Parties.

(b) Costs incurred on selected cooperative activities will be
shared by the participants without any transfer of funds
from one Party to the other.

(c) An implementing arrangement would specify in greater
details the precise administrative and financial modalities
for cooperative activities.

(d) RTD projects,

involving India as developing country,
sponsored under Community’s activities in the field of
research for development will be excluded from the
provisions specified under Article 7 b and c.

Article 8

Entry of personnel and equipment

Each Party shall
take all reasonable steps and use its best
efforts, within the laws and regulations applicable in the terri-
tories of each Party, to facilitate entry to, sojourn and exit from
its territory of persons and equipment involved in or used in
the
cooperative activities
provisions of this Agreement.

identified by the Parties under

Article 9

Diffusion and utilisation of information

information, and the
The dissemination and utilisation of
management, allocation and exercise of intellectual property
rights resulting from joint research under
this Agreement
shall be subject
to the requirements of Annex to this
Agreement. This Annex on Intellectual Property Rights is an
integral part of this Agreement.

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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 India. This shall not
the conduct of cooperative activities on the high
prevent
in
space, or
seas, outer
accordance with international law.

the territory of

third countries,

Article 11

Entry into force, termination and dispute settlement

(a) This Agreement shall enter into force on the date on which
the Parties have notified each other in writing that their
respective internal procedures necessary for its entry into
force have been completed.

(b) This Agreement shall be concluded for an initial period of
five years and may be renewed by mutual agreement
between the Parties after evaluation during the last year
of each successive period.

(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
respective internal procedures necessary for
amending this Agreement have been completed.

their

(d) This Agreement may be terminated at any time by either
Party upon 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
that have accrued in
specific rights and obligations
compliance with the Annex.

(e) All questions or disputes related to the interpretation or
this Agreement shall be settled by

implementation of
mutual agreement between the Parties.

Article 12

This Agreement is drawn up in duplicate in the Danish, Dutch,
Italian, Portuguese,
English, Finnish, French, German, Greek,
Spanish, Swedish and Hindi
these texts
being equally authentic.

languages, each of

In witness whereof, the undersigned, being duly authorised
thereto, have signed this Agreement.

in two copies,

in the Danish, Dutch,
Done at . . . on . . .,
English, Finnish, French, German, Greek,
Italian, Portuguese,
Spanish, Swedish, and Hindi languages, with each text being
equally authentic.

For the Council of the European Union

For the Government of the Republic of India

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ANNEX

INTELLECTUAL PROPERTY RIGHTS

Rights to intellectual property created of furnished under the Agreement shall be allocated as provided in this Annex.

APPLICATION

This Annex is applicable to joint research undertaken pursuant to the Agreement, except as otherwise agreed by the
Parties.

I. Ownership, allocation and exercise of rights

1. For the purpose of this Annex (cid:145)intellectual property(cid:146) is defined in Article 2(c) of the Agreement.

2. This Annex addresses the allocation of rights and interests of the Parties and their participants. Each Party and its
participants shall ensure that the other Party and its participants may obtain the rights to intellectual property
allocated to it in accordance with this Annex. This Annex does not otherwise alter or prejudice the allocation of
rights,
interests and royalties between a Party and its nationals or participants, and the rules of diffusion and
utilisation of information, which will be determined by the laws and practices of each Party.

3. The Parties will also be guided by, and contractual arrangements should provide for, the following principles:

(a) effective protection of intellectual property. The Parties shall ensure that they and/or their participants notify one
another within a reasonable time of the creation of any intellectual property arising under the Agreement or
implementation arrangements and to seek protection for such intellectual property in a timely fashion;

(b) effective exploitation of results, taking into account the contributions of the Parties and their participants;

(c) non-discriminatory treatment of participants from the other Party as compared with the treatment given to its
own participants, with regard to ownership, utilisation and dissemination of information and ownership, allo-
cation and exercise of Intellectual Property Rights;

(d) protection of confidential business information.

4. The participants shall jointly develop a Technology Management Plan (TMP). TMP is a specific agreement to be
concluded between the participants in joint research defining their respective rights and obligations, including those
in respect of the ownership and use, including publication, of information and intellectual property to be created in
the course of joint research.

With respect to IP, the TMP will normally address, among other things, 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 TMP shall also address
foreground and background information, licensing and deliverables. The TMP shall be developed within the rules and
regulations in force in each Party taking into account the aims of the joint research, the relative financial or other
contributions of the Parties and 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 generated by visiting
researchers (i.e. researchers not coming from a Party or a participant) in respect of IP shall also be addressed in the
joint technology management plans. The TMP 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.

5. Information or intellectual property created in the course of joint research and not addressed in a TMP will be
allocated according to the principles set out in the TMP. In case of disagreement, which cannot be resolved by the
agreed dispute settlement procedure, 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.

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6. In accordance with applicable laws, each Party will ensure that the other Party and its participants may have the

rights to IP allocated to them.

7. While maintaining the condition of competition in areas affected by the Agreement, each Party shall endeavor 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

and

(ii) the adoption and implementation of international standards.

8. Termination or expiry of the Agreement will not affect rights or obligations of participants with regard to Intellectual

Property under approved on-going projects in accordance with this Annex.

II. Copyright works and scientific literary works

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

Without prejudice to Section III, and unless otherwise agreed in the TMP, publication of results of research shall be made
jointly by the Parties or participants. Subjects 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 the Agreement, the other Party
will 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 endeavor to disseminate literary works of a scientific character arising from joint research pursuant

to the Agreement and published by independent publishers will 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 explicitly declines to be named. Copies shall also bear a clearly visible
acknowledgement of the cooperative support of the Parties.

III. Undisclosed information

A. Documentary undisclosed information

1. Each Party, its agencies or its participants, as appropriate, shall identify at the earliest possible moment and preferably
in the TMP the information that they wish to remain undisclosed in relation to the Agreement, taking into account
inter alia the following criteria:

(a) secrecy of the information in the sense that it 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 fields;

(b) the actual or potential commercial value of the information by virtue of its secrecy;

(c) 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 their 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.

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2. Each Party shall ensure that it and its participants clearly identify undisclosed information, 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 will respect the privileged nature thereof. These
limitations shall automatically terminate when this information is disclosed by the owner into the public domain.

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 of the receiving Party
authorised for the specific purposes of the joint research under way, provided that any undisclosed information so
disseminated shall be pursuant to a written 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 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 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 principles 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 in advance and in written form of
the information to be
communicated.

the confidential character of

C. Control

Each Party shall endeavour to ensure that undisclosed information received by it under this Agreement shall be
controlled as provided herein. If one of the Parties becomes aware that it will be, or may be reasonably expected to
become, unable to meet the non-dissemination provisions of sections A and B, it shall immediately inform the other
Party. The Parties will thereafter consult to define an appropriate course of action.