Proposal for a Council Decision approving the signing by the Commission of two Cooperation Agreements between the European Atomic Energy Community (Euratom) and the Government of the Russian Federation in the fields of nuclear safety and controlled nuclear fusion
Date: 2001-08-31
Institutions: European Commission
Subjects: EAEC, Russia, cooperation agreement, nuclear fusion, nuclear safety

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 31.08.2001
COM(2001) 474 final

Proposal for a

COUNCIL DECISION

approving the signing by the Commission of two Cooperation Agreements between the
European Atomic Energy Community (Euratom) and the Government of the Russian
Federation in the fields of nuclear safety and controlled nuclear fusion

(presented by the Commission)

EXPLANATORY MEMORANDUM

On 17 January 1991 the Council adopted a decision directing the Commission to negotiate
two co-operation agreements, one on nuclear safety, the other on controlled nuclear fusion,
between the European Atomic Energy Community and the Russian Federation based on the
second paragraph of Article 101 of the Euratom Treaty.

The negotiations between the Commission and the Russian authorities were completed
without running into any particular difficulties in 1992. The Council approved the signing by
the Commission in December 1994.

However, before the formal conclusion of both agreements, the Russian authorities presented
substantial modifications to the initialled text approved by the Council. The reply of the
Commission remained under examination during several years without any reaction from the
Russian side.

The present text, after the necessary modifications has met the consensus of both parties and
has been initialled on 22 June 2001. It complies with the negotiating directives the Council
issued to the Commission.

The Commission calls on the Council to adopt the annexed decision approving the conclusion
of the two agreements.

2

Proposal for a

COUNCIL DECISION

approving the signing by the Commission of two Cooperation Agreements between the
European Atomic Energy Community (Euratom) and the Government of the Russian
Federation in the fields of nuclear safety and controlled nuclear fusion

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Atomic Energy Community, and in
particular the second paragraph of Article 101 thereof,

Having regard to the Agreement on Partnership and Cooperation between the European
Communities and its Member States and the Russian Federation, which entered into force on
1 December 1997, and which aims to establish close cooperation in the nuclear sector inter
alia through the implementation of two agreements on thermonuclear fusion and on nuclear
safety,

Having regard to the proposal from the Commission,

Whereas:

(1)

(2)

(3)

(4)

(5)

In accordance with the directives the Council adopted in its decision of 17 January
1991, the Commission has negotiated two agreements on nuclear safety and controlled
nuclear fusion between the European Atomic Energy Community (Euratom) and the
Russian Federation.

The Commission should be authorised to conclude the agreement.

The Council, acting on a proposal by the Commission, approved the agreement on 22
December 1994. However, subsequent developments made revision and updating
necessary. Therefore, the Council Decision of 22 December 1994 should be repealed.

The Council adopted a Decision on 22 December 1998 concerning the Fifth
Framework Programme of the EAEC for research and training activities (1998-2002)
which includes the key action controlled thermonuclear fusion.

The Council in its Decision of 25 January 1999 adopted a research and training
programme in the field of nuclear energy (EURATOM) for the period 1998-2002,

3

HAS DECIDED AS FOLLOWS :

Article 1

The Commission is hereby authorised to conclude two cooperation agreements on nuclear
safety and controlled nuclear fusion between the European Atomic Energy Community and
the Government of the Russian Federation.

Article 2

The Council Decision of 22 December 1994 is hereby repealed.

The text of the two agreements is annexed to this Decision.

Done at Brussels,

For the Council
The President

4

ANNEXES

5

AGREEMENT FOR COOPERATION

BETWEEN THE EUROPEAN ATOMIC ENERGY COMMUNITY

AND THE GOVERNMENT OF THE RUSSIAN FEDERATION

IN THE FIELD OF NUCLEAR SAFETY

6

THE EUROPEAN ATOMIC ENERGY COMMUNITY,

hereinafter referred to as "the Community ",and

the Government of the RUSSIAN FEDERATION,

both referred to hereinafter as the "Party" or "Parties", as appropriate,

RECALLING that
the Agreement on Partnership and Cooperation between the European
Communities and its Member States, on the one hand, and the Russian Federation, on the other
hand, which entered into force on 1 December 1997, establishes that the Parties shall cooperate
in the nuclear sector inter alia through the implementation of two agreements on thermonuclear
fusion and on nuclear safety;

RECALLING that the Commission of the European Communities 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 protection of the environment and cooperating with third parties is of
importance;

CONSIDERING that the Commission of the European Communities implements Community
research programmes in the field of nuclear safety, including reactor safety, radiation protection,
waste management and nuclear plant decommissioning and dismantling, as well as in the field of
safeguards 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 the Russian Federation makes a considerable effort on the implementation
of research and development programmes aimed at improving the safety of existing nuclear
power plants and of those being under design to answer accepted up-to-date nuclear safety
requirements, as well as at solving problems of radioactive waste management and of nuclear
plant decommissioning;

RECALLING that the Russian Federation'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
Europe as a whole, with due consideration for diversification, the economy and the environment,
also depends on developing satisfactory solutions to the safety related issues aforementioned, as
well as on assessing the safety levels of existing nuclear reactors and their necessary upgrading
as a consequence;

7

TAKING INTO ACCOUNT the various forms of coordinated actions on nuclear safety
undertaken by the Parties, in particular, under the TACIS programme;

DETERMINED to strengthen their cooperation and to avail themselves of regular consultations
in the field of nuclear safety;

HAVE AGREED AS FOLLOWS:

ARTICLE 1

Cooperation under this Agreement shall, on the basis of mutual benefit, contribute to the
improvement of nuclear safety.

ARTICLE 2

Cooperation shall involve the following topics:

(a) Reactor safety research

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

(b) Radiation protection

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

(c) Nuclear waste management

Assessment and optimization of geological disposal, and scientific aspects of
management of long-lived waste.

the

8

(d) Decommissioning, decontamination and dismantling of nuclear installations

Strategies
radiological aspects.

for decommissioning and dismantling nuclear

installations,

including

(e) Research and development on accountancy and control of nuclear material

and evaluation of nuclear material measurement

Development
characterization of
improvement of the systems of accounting for and control of nuclear materials.

and
reference materials for accountancy and control activities and

techniques

ARTICLE 3

1. Cooperation in the areas specified in Article 2 of this Agreement shall be implemented in
particular through:

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

etc.;

- exchange of personnel between laboratories and/or bodies, 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 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 financing provisions, assignment of
management responsibilities and detailed provisions on dissemination of information and
intellectual property rights.

The Executive Agent for the Russian Party for implementing this Agreement shall be the
Ministry of the Russian Federation for Atomic Energy.

9

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. The activities under this Agreement shall be subject to the availability of appropriated funds
in each of the Parties.

2. All costs resulting from cooperation shall be borne by the Party that incurs them.

3. The financing of industrial activities is excluded under this Agreement.

ARTICLE 5

1. This Agreement shall apply, on the one hand,
to the territories in which the Treaty
establishing the European Atomic Energy Community is applied and under the conditions laid
down in this Treaty and, on the other hand, to the territory of the Russian Federation.

2. Cooperation under this Agreement shall be in accordance with the laws and regulations in
force in each of the Parties.

3. Each Party shall use its best endeavours, within the framework of its 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 implementation of this Agreement shall be
made in accordance with the laws and regulations applicable in each of the Parties.

10

ARTICLE 6

Treatment of information, industrial property and copyright resulting from the cooperation
activities under this Agreement shall be in accordance with Annexes I, II and III, which form an
integral part of this Agreement.

ARTICLE 7

Subject to their respective laws and regulations, the Parties shall endeavour to settle all questions
connected with this Agreement including those related to its application and interpreatation
through consultations between themselves.

ARTICLE 8

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

2. The Coordinating Committee shall meet each year, alternately in the Community and in the
Russian Federation, for regular sessions in order to:

review and assess the state of cooperation under this Agreement and prepare annual reports
thereon;

- determine by mutual agreement the specific tasks to be undertaken under this Agreement.

3. If mutually agreeable, extraordinary sessions of the Coordinating Committee may be held for
dealing with particular topics, or in particular circumstances.

11

-
ARTICLE 9

1. 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. It 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 of this Agreement, the provisions thereof shall
remain valid 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 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 of the Parties under
Article 6 of this Agreement.

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

Done at ....... on

For the European Atomic

Energy Community

For the Government of the

Russian Federation

12

ANNEX I

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

I. OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS

1. This Annex shall apply to joint research activities under this Agreement except as
otherwise agreed by the Parties. The participants shall jointly develop Technology
Management Plans (TMPs) in respect of the ownership and use, including publication,
of information and intellectual property, hereinafter referred to as results of intellectual
activities (RIA), to be created in the course of joint research. The TMPs 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, peculiarities of
licensing by territory or for a specific fields of use, requirements imposed by laws
applicable and other factors deemed appropriate by the participants. The rights and
this
obligations concerning the research generated by visiting researchers under
Agreement in respect of RIA shall also be addressed in the joint TMPs.

2. RIA created in the course of joint research and not addressed in the TMP shall be
allocated, with the approval of the Parties, according to the principles set out in the
TMP. In case of disagreement, such RIA shall be owned jointly by all the participants
involved in the joint research from which the RIA results. Each participant to whom
this provision applies shall have the right to use such RIA for his own commercial
exploitation with no geographical limitation.

3. Each Party shall ensure that the other Party and its participants shall have the rights to

RIA allocated to them in accordance with these principles.

13

4. While maintaining the conditions of competition in areas affected by this Agreement
each Party shall endeavour to ensure that rights acquired pursuant to this 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 legally , or otherwise
legally made available, under the Agreement;

(ii) the adoption and implementation of international technical standards.

Il. COPYRIGHT WORKS

1. Copyright belonging to the Parties or to their participants shall be accorded treatment
consistent with the Berne Convention for the protection of literary and artistic work (Paris
Act 1971).

2. Without prejudice to Section III of this Annex, 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:

(a) In the case of publication by a Party or its other participants, of scientific and technical
journals, articles, reports, books, including video and software, of the results arising from
joint research pursuant to this Agreement, the other Party or its other participants shall be
royalty-free licence to translate,
entitled to a worldwide, non-exclusive,
reproduce, adapt, transmit and publicly distribute such works.

irrevocable,

(b) 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.

(c) All copies of a copyright work to be publicly distributed and prepared under the provisions
of this Agreement shall indicate the names or pseudonyms of the author(s) of the work
unless an author or authors expressly declines or decline to be named. The copies shall also
bear a clearly visible acknowledgment of the cooperative support of the Parties and/or their
representatives and/or organisations.

14

III. UNDISCLOSED INFORMATION

1. Documentary undisclosed information

(a) Each Party or its participants, as appropriate, shall identify at the earliest possible
moment and preferably in the TMP 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 for the third party;

- 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 of or all the information provided, exchanged or created in the course of
joint research pursuant to the Agreement shall not be disclosed.

(b) Each Party shall ensure that undisclosed information under this Agreement and its
ensuing 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 this 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.

(c) Undisclosed

information

communicated

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
to a specific
any undisclosed information so disseminated shall be pursuant

this Agreement may

under

15

-
-
agreement on confidentiality and shall be readily recognizable as such, as set out
above.

(d). 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 (c) 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.

2. 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 this Annex, 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.

16

3. 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 1 and 2 above, it shall immediately inform the other Party. The
Parties shall thereafter consult to define an appropriate course of action.

_

17

ANNEX II

DEFINITIONS

1.

2.

3.

4.

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.

PARTICIPANT: any natural or legal person, including the Parties themselves, participating
in a project under this Agreement.

JOINT RESEARCH: research implemented and/or funded by the joint contributions of the
Parties and with collaboration from participants of both Parties, where appropriate.

research and
INFORMATION: scientific or
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.

results or methods of

technical data,

5. RESULTS OF INTELLECTUAL ACTIVITY: information and/or intellectual property

_

18

ANNEX III

INDICATIVE FEATURES OF A

TECHNOLOGY MANAGEMENT PLAN (TMP)

to be concluded between the participants, about

the
The TMP is a specific agreement
implementation of joint research and the respective rights and obligations of the participants.
With respect to RIA, the TMP will normally address, inter alia: ownership, protection, user
including arrangements for joint
rights for R&D purposes, exploitation and dissemination,
publication, the rights and obligations of visiting researchers and dispute settlement procedures.
The TMP may also address foreground and background information, licensing and deliverables.

_

19

AGREEMENT

FOR COOPERATION BETWEEN

THE EUROPEAN ATOMIC ENERGY COMMUNITY

AND THE GOVERNMENT OF THE RUSSIAN FEDERATION

IN THE FIELD OF CONTROLLED NUCLEAR FUSION

20

THE EUROPEAN ATOMIC ENERGY COMMUNITY,

hereinafter referred to as "The Community",and

the Government of the RUSSIAN FEDERATION,

both referred to hereinafter as the "Party" or "Parties", as appropriate,

RECALLING that
the Agreement on Partnership and Cooperation between the European
Communities and their Member States, on the one hand, and the Russian Federation, on the
other hand, which entered into force on 1 December 1997, establishes that the Parties shall
cooperate in the nuclear sector inter alia through the implementation of two agreements on
thermonuclear fusion and on nuclear safety;

DESIRING to facilitate the achievement of fusion energy as a potentially environmentally
acceptable, economically competitive, and virtually limitless source of energy;

INTENDING to strengthen the collaboration being carried out worldwide under
fusion
programmes, particularly in the framework of the activities connected with the International
Thermonuclear Experimental Reactor, hereinafter referred to as the "ITER";

RECOGNIZING the commonality and complementarity of the Parties' fusion programmes;

DETERMINED to strengthen their cooperation in the field of controlled nuclear fusion through
regular consultations,

HAVE AGREED AS FOLLOWS:

ARTICLE 1

The Parties shall maintain and intensify cooperation in the areas covered by their respective
fusion programmes on the basis of equality and mutual benefit in order to develop - particularly
in the framework of activities connected with ITER project implementation - the scientific
understanding and technological capability underlying a fusion power system.

21

ARTICLE 2

Cooperation under this Agreement may be undertaken in the following research areas:

(a) plasma behavior at tokamaks, including the large projects of the present generation and

activities related to those of the next generation;

(b) alternative lines to tokamaks;

(c) magnetic fusion technology;

(d) plasma theory and applied plasma physics;

(e) development of programme policies and plans; and

(f)

other areas as may be mutually agreed by the Parties.

ARTICLE 3

Cooperation in the areas referred to in Article 2 of this Agreement may be implemented through:

(a)

exchanges of scientific and technical information;

(b) exchanges of personnel;

(c)

joint meetings, conferences and seminars;

(d) exchanges of samples, materials,

instruments and apparatus for experimental and

evaluation purposes;

(e) balanced participation in joint studies and activities; and

(f)

other activities as may be mutually agreed by the Parties.

22

ARTICLE 4

this Agreement,

1. Within the framework of
implementing arrangements on specific
cooperative actions shall be concluded between the Community or any organization associated
with it within the framework of the Community Fusion Programme designated by the
Community for this purpose, and the Ministry of the Russian Federation for Atomic Energy, or
any organization designated by it for the implementation of specific activities (hereinafter
collectively referred to as "the implementing agencies").

2. The above mentioned arrangements to implement activities listed in Article 3 shall contain:

(a)

specific details, procedures and financing provisions for individual cooperative activities;

(b) assignment of the responsibility for the operational management of the concerned activity

to a single organization or its operating agent;

(c) detailed provisions on dissemination of information and treatment of intellectual property.

3. Each Party shall coordinate its activities under this Agreement as appropriate, with other
international activities related to research and development in the field of controlled nuclear
fusion in which the other Party is a participant, in order to minimize duplication of effort.

ARTICLE 5

1. The Parties shall establish a Coordinating Committee to coordinate and to supervise the
execution of this Agreement. Each of the Parties shall appoint an equal number of members to
the Coordinating Committee and nominate one of its appointed members as its Head of
Delegation. The Coordinating Committee shall meet each year, alternately in the Community
and in the Russian Federation unless otherwise agreed upon. The Head of Delegation of the
receiving Party shall chair the meeting.

2. The functions of the Coordinating Committee shall include:

(a)

assessing the state of cooperation under this Agreement;

(b) determining the specific tasks to be undertaken in the areas referred to in Article 2.

23

3. All decisions of the Coordinating Committee shall be taken by unanimity. For making such
decisions, each Party shall have one vote to be cast by its Head of Delegation.

4. For periods between meetings of the Coordinating Committee, each Party shall nominate an
Executive Secretary to act on its behalf in all matters concerning cooperation under this
Agreement. The Executive Secretaries shall be responsible for day-to-day management of such
cooperation.

ARTICLE 6

All costs resulting from the cooperation under this Agreement shall be borne by the Party that
incurs them, unless otherwise specifically agreed in writing.

ARTICLE 7

Treatment of information, industrial property and copyright resulting from with the cooperative
activities under this Agreement shall be in accordance with the Annexes I, II and III, which form
an integral part of this Agreement.

ARTICLE 8

Nothing in this Agreement shall be construed to prejudice existing or future arrangements for
cooperation between the Parties.

24

ARTICLE 9

1. The implementation of co-operative activities by the Parties under this Agreement shall be
subject to the availability of appropriated funds.

2. Cooperation under this Agreement shall be in accordance with the laws and regulations
applicable in each of the Parties.

3. Each Party shall use its best endeavours, within the framework of its 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 implementation of this Agreement shall be
made in accordance with the laws and regulations applicable in each of the Parties.

ARTICLE 10

Subject to their respective laws and regulations, the Parties shall endeavour to settle all questions
connected with this Agreement, including those related to its application and interpretation,
through consultations between themselves.

ARTICLE 11

1. 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. It shall remain in force for an initial period of 5 years.

25

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 6 months prior to
the expiry date.

3.
In the event of termination or renegotiation of this Agreement the provision thereof shall
remain valid in its previous form, with respect to cooperation activities effectively entered into
prior to the request for termination or renegotiation and to implementing arrangements as
envisaged in Article 4 of this Agreement, until the end of such activities and arrangements.

4. Termination of this Agreement shall not affect rights and obligations of the Parties under
Article 7 of this Agreement.

ARTICLE 12

This Agreement shall apply, on the one hand, to the territories in which the Treaty establishing
the European Atomic Energy Community is applied and under the conditions laid down in this
Treaty and to the territories of the countries participating in the Community fusion programme
as fully associated Third States and, on the other hand, to the territory of the Russian Federation.

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

Done at ........ on

For the European Atomic

Energy Community

For the Government of

the Russian Federation

26

ANNEX I

GUIDING PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY
RIGHTS RESULTING FROM JOINT RESEARCH ACTIVITIES
UNDER THE AGREEMENT FOR COOPERATION
IN THE FIELD OF CONTROLLED NUCLEAR FUSION

I. OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS

1. This Annex shall apply to joint research activities under this Agreement except as
otherwise agreed by the Parties. The participants shall jointly develop Technology
Management Plans (TMPs) in respect of the ownership and use, including publication,
of information and intellectual property, hereinafter referred to as results of intellectual
activities (RIA), to be created in the course of joint research. The TMPs 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, peculiarities of
licensing by territory or for a specific fields of use, requirements imposed by laws
applicable and other factors deemed appropriate by the participants. The rights and
this
obligations concerning the research generated by visiting researchers under
Agreement in respect of RIA shall also be addressed in the joint TMPs.

2. RIA created in the course of joint research and not addressed in the TMP shall be
allocated, with the approval of the Parties, according to the principles set out in the
TMP. In case of disagreement, such RIA shall be owned jointly by all the participants
involved in the joint research from which the RIA results. Each participant to whom
this provision applies shall have the right to use such RIA for his own commercial
exploitation with no geographical limitation.

3. Each Party shall ensure that the other Party and its participants shall have the rights to

RIA allocated to them in accordance with these principles.

27

4. While maintaining the conditions of competition in areas affected by this Agreement
each Party shall endeavour to ensure that rights acquired pursuant to this 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 legally , or otherwise
legally made available, under the Agreement;

(ii) the adoption and implementation of international technical standards.

Il. COPYRIGHT WORKS

1. Copyright belonging to the Parties or to their participants shall be accorded treatment
consistent with the Berne Convention for the protection of literary and artistic work (Paris
Act 1971).

2. Without prejudice to Section III of this Annex, 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:

(a)In the case of publication by a Party or its other participants, of scientific and technical
journals, articles, reports, books, including video and software, of the results arising
from joint research pursuant to this Agreement, the other Party or its other participants
shall be entitled to a worldwide, non-exclusive, irrevocable, royalty-free licence to
translate, reproduce, adapt, transmit and publicly distribute such works.

(b)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.

(c)All copies of a copyright work to be publicly distributed and prepared under the
provisions of this Agreement shall indicate the names or pseudonyms of the author(s)
of the work unless an author or authors expressly declines or decline to be named. The
copies shall also bear a clearly visible acknowledgment of the cooperative support of
the Parties and/or their representatives and/or organisations.

28

III. UNDISCLOSED INFORMATION

1. Documentary undisclosed information

(a) Each Party or its participants, as appropriate, shall identify at the earliest possible
moment and preferably in the TMP 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 for the third party;

- 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 of or all the information provided, exchanged or created in the course of
joint research pursuant to the Agreement shall not be disclosed.

(b) Each Party shall ensure that undisclosed information under this Agreement and its
ensuing 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 this 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.

(c) Undisclosed

information

communicated

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

this Agreement may

under

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-
-
to a specific
any undisclosed information so disseminated shall be pursuant
agreement on confidentiality and shall be readily recognizable as such, as set out
above.

(d) With the prior written consent of the Party providing undisclosed information
the receiving Party may disseminate such undisclosed
under this Agreement,
information more widely than otherwise permitted in paragraph (c) 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.

2. 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 this Annex, 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.

3. 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 1 and 2 above, 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.

2.

3.

4.

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.

PARTICIPANT: any natural or legal person, including the Parties themselves, participating
in a project under this Agreement.

JOINT RESEARCH: research implemented and/or funded by the joint contributions of the
Parties and with collaboration from participants of both Parties, where appropriate.

research and
INFORMATION: scientific or
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.

results or methods of

technical data,

5. RESULTS OF INTELLECTUAL ACTIVITY: information and/or intellectual property

_

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ANNEX III

INDICATIVE FEATURES OF A

TECHNOLOGY MANAGEMENT PLAN (TMP)

to be concluded between the participants, about

the
The TMP is a specific agreement
implementation of joint research and the respective rights and obligations of the participants.
With respect to RIA, the TMP will normally address, inter alia: ownership, protection, user
including arrangements for joint
rights for R&D purposes, exploitation and dissemination,
publication, the rights and obligations of visiting researchers and dispute settlement procedures.
The TMP may also address foreground and background information, licensing and deliverables.

_

32