Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India
Date: 2001-11-23
Institutions: European Community, India
Subjects: India, cooperation agreement (EU), research and development, scientific cooperation, scientific research, technical cooperation

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for

scientific and technological cooperation between the European Community and the

Government of the Republic of India

AGREEMENT

THE EUROPEAN COMMUNITY, hereinafter referred to as ‘the Community’,

of the one part, and

THE GOVERNMENT OF THE REPUBLIC OF INDIA, hereinafter referred to as ‘India’,

of the other part,

hereinafter referred to as the ‘Parties’,

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
20 December 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 encouraging the application of the results of such cooperation to
their economic and social benefit,

HAVE AGREED AS FOLLOWS:

Article 1

Purpose

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

Article 2

Definitions

For the purpose of this Agreement:

(a) ‘cooperative activity’ means any activity which the Parties
undertake or support, pursuant to this Agreement, and
includes joint research;

(b) ‘information’ means scientific or technical data, results or
methods of research and development stemming from joint
research carried out under this Agreement and any other
data deemed necessary by the participants to cooperative
activities, including, as necessary, by the Parties themselves;

(c) ‘intellectual property’ shall have the meaning defined in
Article 2 of the Convention establishing the World Intellec-
tual Property Organisation, done at Stockholm, 14 July
1967;

(d) ‘joint research’ means a research, technological develop-
ment or demonstration project that is implemented with
financial support
from one or both Parties and that
involves collaboration between participants from both the
Community and India and is designated as joint research in
writing by the Parties or the Executive Agents. Where there

is funding by only one Party, the designation shall be made
by that Party and the participant in that project;

(e) ‘participant’ or ‘research entities’ 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.

Article 3

Principles

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

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

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

logical development undertaken by each Party;

(c) timely exchange of information which may affect cooper-

ative activities;

(d) appropriate protection of intellectual property rights.

Article 4

Scope of cooperation

Cooperation under this Agreement may cover all the activities
technological development and demonstration,
of research,
hereinafter referred to as ‘RTD’, 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 techno-
logical fields.

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

ment; this Committee shall consist of an equal number of
official
representatives of each Party and shall have
Co-Chairpersons from the Parties; it shall establish its own
rules of procedure.

Article 5

(c) The functions of the Steering Committee shall

include:

Forms of cooperation

Cooperative activities may take the following forms:

— 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 participation is subject to the rules and proced-
ures applicable in each Party,

— 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,

— pooling of RTD projects already implemented according to
the procedures applicable in the RTD programmes of each
Party,

— visits and exchanges of scientists and technical experts,

— joint organisation of

conferences,
scientific
symposia and workshops, as well as participation of experts
in those activities,

seminars,

— concerted actions for dissemination of results/exchange of
experience on joint RTD projects that have been funded,

— exchanges

and sharing of

equipment

and materials

including shared use of advanced research facilities,

— exchanges of information on practices,

to cooperation under

laws, regulations
this

and programmes
Agreement,

relevant

— any other form recommended by the Steering Committee
and deemed in conformity with the policies and procedures
applicable in both Parties.

Article 6

Coordination and facilitation of cooperative activities

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

(b) The executive agents shall establish a Steering Committee
on S & T Cooperation, hereinafter referred to as the
‘Steering Committee’ for the management of this Agree-

(i) 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 activities in the field of research for
development;

(ii) recommending Joint RTD projects, to be sponsored
on a cost-sharing basis by the Parties, received in
response to an approved Joint Call for Proposal text
issued simultaneously by the Executive Agents.

side

The joint projects, which have been submitted by the
for participation in the
scientists of one
programmes 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;

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

(iv) proposing, pursuant to the third indent of Article 5,
to the scientists of both Parties the pooling of their
projects which would be of mutual benefit and
complementary;

(v) making recommendations pursuant to the fourth to

eighth indents of Article 5;

(vi) advising the Parties on ways to enhance and improve
cooperation consistent with the principles set out in
this Agreement;

(vii) reviewing the efficient functioning and implementa-
tion of this Agreement, including evaluation of on-
going cooperative projects involving India as a devel-
oping country under Community activities in the field
of research for development;

(viii) annually providing a report to the Parties on the
the level reached and the effectiveness of
status,
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.

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(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 Coopera-
tion Agreement between the European Community and
India on Partnership and Development, and according to a
jointly agreed schedule; the meetings should be held alter-
natively in the Community and in India. Extraordinary
meetings may be organised at the request of either Party.
(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 desig-
nated Co-Chairpersons of the Steering Committee.

(f) For the Steering Committee Meeting, the travel and accom-
modation expenses of the participants shall be borne by the
Parties to whom they relate. Any other cost associated with
the Steering Committee Meeting shall 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 the territories of each Party and in accordance with
policies and programmes of the Parties.

(b) Costs incurred on selected cooperative activities shall 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, spon-
sored under Community activities in the field of research
for development shall be excluded from the provisions
specified under (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 in, and exit
from its territory of persons and equipment involved in or used
in cooperative activities identified by the Parties under the
provisions of this Agreement.

Article 9

Diffusion and utilisation of information

The dissemination and utilisation of
information, and the
management, allocation and exercise of intellectual property
rights resulting from joint research under this Agreement shall

be subject to the requirements of the Annex. The Annex shall
be an integral part of 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 India. This shall not
prevent the conduct of cooperative activities on the high seas,
outer space, or the territory of third countries, in accordance
with international

law.

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

(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
specific rights and obligations that have accrued in compli-
ance 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,
English, Finnish, French, German, Greek, Italian, Portuguese,
Spanish, Swedish and Hindi
languages, each of these texts
being equally authentic.

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

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Hecho en Nueva Delhi el veintitrés de noviembre del dos mil uno por duplicado en alemán, danés, español,
finés, francés, griego, inglés, italiano, neerlandés, portugués, sueco e hindi, siendo cada uno de estos textos
igualmente auténticos.

Udfærdiget i New Delhi, den treogtyvende november to tusind og et, i to eksemplarer på dansk, engelsk,
finsk, fransk, græsk, italiensk, nederlandsk, portugisisk, spansk, svensk, tysk og hindi, idet hver af disse
tekster har samme gyldighed.

Geschehen zu New Delhi am dreiundzwanzigsten November zweitausendundeins in zwei Urschriften in
italienischer, niederländischer,
dänischer, deutscher, englischer,
jeder Wortlaut
portugiesischer, schwedischer und spanischer Sprache sowie in Hindi abgefasst, wobei
gleichermaßen verbindlich ist.

französischer, griechischer,

finnischer,

Έγινε στο Νέο ∆ελχί, στις είκοσι τρεις Νοεµβρίου δύο χιλιάδες ένα, σε δύο αντίτυπα στην αγγλική, γαλλική,
γερµανική, δανική, ελληνική, ισπανική, ιταλική, ολλανδική, πορτογαλική, σουηδική και φινλανδική γλώσσα και τη
γλώσσα Hindi· όλα τα κείµενα είναι εξίσου αυθεντικά.

Done at New Delhi on the twenty-third day of November in the year two thousand and one, in two copies,
in the Danish, Dutch, English, Finnish, French, German, Greek, Italian, Portuguese, Spanish, Swedish, and
Hindi

languages, with each text being equally authentic.

Fait à New Delhi, le vingt-trois novembre deux mille un, en deux exemplaires, en langues allemande,
anglaise, danoise, espagnole, française, finnoise, grecque,
italienne, néerlandaise, portugaise, suédoise et
hindi, chacun de ces textes faisant également foi.

Fatto a Nuova Delhi, addì ventitre novembre duemilauno, in duplice copia nelle lingue danese, finlandese,
francese, greca, inglese, italiana, olandese, portoghese, spagnola, svedese, tedesca e hindi, ciascun testo
facente ugualmente fede.

Gedaan te New Delhi op de drieëntwintigste november tweeduizendeneen in twee exemplaren in de Deense,
de Duitse, de Engelse, de Finse, de Franse, de Griekse, de Italiaanse, de Nederlandse, de Portugese, de
Spaanse, de Zweedse en de Hinditaal, zĳnde alle teksten gelĳkelĳk authentiek.

Feito em Nova Deli, em vinte e três de Novembro de dois mil e um, em duplo exemplar, nas línguas alemã,
dinamarquesa, espanhola, finlandesa, francesa, grega,
italiana, neerlandesa, portuguesa, sueca e
hindi, fazendo igualmente fé todos os textos.

inglesa,

Tehty New Delhissä kahdentenakymmenentenäkolmantena päivänä marraskuuta vuonna kaksituhattayksi
kahtena kappaleena englannin-, espanjan-, hollannin-,
italian-, kreikan-, portugalin-, ranskan-, ruotsin-,
saksan-, suomen-, tanskan- ja hindinkielellä,

ja jokainen teksti on yhtä todistusvoimainen.

Upprättat i New Delhi den tjugotredje november tjugohundraett i två exemplar på danska, engelska, finska,
franska, grekiska, italienska, nederländska, portugisiska, spanska, svenska och tyska språken samt på hindi,
varvid samtliga språkversioner äger lika giltighet.

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Por la Comunidad Europea

For Det Europæiske Fællesskab

Für die Europäische Gemeinschaft

Για την Ευρωπαϊκή Κοινότητα

For the European Community

Pour la Communauté européenne

Per la Comunità europea

Voor de Europese Gemeenschap

Pela Comunidade Europeia

Euroopan yhteisön puolesta

På Europeiska gemenskapens vägnar

Por el Gobierno de la República de la India

På Republikken Indiens regerings vegne

Für die Regierung der Republik Indien

Για την κυβέρνηση της ∆ηµοκρατίας της Ινδίας

For the Government of the Republic of India

Pour le gouvernement de la République de l'Inde

Per il governo della Repubblica dell'India

Voor de regering van de Republiek India

Pelo Governo da República da Índia

Intian tasavallan hallituksen puolesta

På Republiken Indiens regerings vägnar

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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 purpose of this Annex ‘intellectual property’ 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 allo-
cated 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 business-confidential 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 intellectual property (IP), the TMP will normally address, among other things, ownership, protec-
tion, 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 rela-
tive 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 proce-
dures 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 allo-
cated according to the principles set out in the TMP. In the event of a 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 geo-
graphical limitation.

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.

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7. While maintaining the condition 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,

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 intellec-

tual 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, results of research shall be published jointly
by the Parties or participants. Subject to the foregoing general rule, the following procedures shall apply:

1. In the case of publication by a Party or public bodies of that Party of scientific and technical journals, articles,
reports, books, including video and software arising from joint research pursuant to the Agreement, the other
Party will be entitled to a worldwide, non-exclusive, irrevocable, royalty-free license 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 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.

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 informa-
tion so disseminated shall be pursuant to a written agreement of confidentiality and shall be readily recognisable
as such, as set out above.

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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 poli-
cies, regulations and laws.

B. Non-documentary undisclosed information

Non-documentary undisclosed or other confidential or privileged information provided in seminars and other meet-
ings 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 confidential character of the
information to be communicated.

C. Control

Each Party shall endeavour to ensure that undisclosed information received by it under this Agreement is 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.