Proposal for a Council Decision on the signing of the agreement for scientific and technological cooperation between the European Community and the Republic of Chile
Date: 2002-03-19
Institutions: European Commission
Subjects: Chile, cooperation agreement (EU), scientific cooperation, technical cooperation

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Proposal for a Council Decision on the signing of the agreement for scientific and technological
cooperation between the European Community and the Republic of Chile

(2002/C 181 E/15)

COM(2002) 151 final

(Submitted by the Commission on 19 March 2002)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission,

Whereas:

(1) A Framework Cooperation Agreement between the European Community and its Member States, on
the one part, and the Republic of Chile, of the other part entered into force on 1 February 1999 (1).

(2) In its resolution of 14 March 1997 on the Commission communication entitled ‘Promoting RTD
cooperation with the world's emerging economies’ — COM(96) 344 final — the European Parliament
‘calls on the Commission to negotiate, with due regard for the circumstances in each country, bilateral
agreements establishing a legal framework for the promotion of RTD cooperation’ (2).

(3) The European Community and the Republic of Chile are pursuing specific RTD programmes in areas

of common interest.

(4) 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.

(5) This cooperation agreement in the field of science and technology forms part of the global cooperation

between the European Community and the Republic of Chile.

(6) By its decision of 10 July 2001, the Council authorised the Commission to negotiate an agreement for
scientific and technological cooperation between the European Community and the Republic of Chile.
The negotiations, conducted in line with the negotiating directives, resulted in the attached draft
agreement and its annex on intellectual property rights.

(7) Subject to its possible conclusion at a later date, the agreement initialled on 11 December 2001 should

be signed,

HAS DECIDED AS FOLLOWS:

is hereby authorised to
Subject to a possible conclusion at a later date, the President of the Council
designate the person empowered to sign, on behalf of the European Community, the Agreement for
scientific and technological co-operation between the European Community and the Republic of Chile.

Sole Article

(1) OJ L 42, 16.2.1999, p. 46.
(2) OJ C 115, 14.4.1997, p. 236.

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AGREEMENT

for scientific and technological cooperation between the European Community and the Republic
of Chile

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

on the one part,

and

THE REPUBLIC OF CHILE (hereinafter referred to as ‘Chile’) on the other part,

hereinafter referred to as the ‘Parties’;

CONSIDERING the Framework Agreement of Cooperation between the Government of the Republic of Chile
and the European Economic Community concluded on 20 December 1990;

CONSIDERING the importance of science and technology for their economic and social development and
article 16 of the Framework Agreement signed in Florence on 21 June 1996;

CONSIDERING the present scientific and technological cooperation between the Community and Chile;

CONSIDERING that the Community and Chile are carrying out research and technological development
activities, including demonstration projects referred to as letter d) of Article 2, in a number of areas of
common interest, and that mutual benefits may be derived from the participation of one Party in the
research and development of the other based on the reciprocity criteria;

DESIRING to create a formal cooperation basis in scientific and technological research with a view to
extend and intensify the conduct of cooperative activities in areas of common interest and to encourage
the application of the results of such cooperation to the economic and social benefit of both Parties;

CONSIDERING that the present Scientific and Technological Cooperation Agreement between Chile and the
Community is part of the general cooperation between Chile and the Community,

HAVE AGREED AS FOLLOWS:

Article 1

Purpose

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

Article 2

Definitions

For the purpose of this Agreement:

(a)

‘cooperative activity’ means any activity which the Parties
to this Agreement, and
undertake or support, pursuant
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 Intel-
lectual Property Organisation, done at Stockholm, 14 July
1967 and the TRIPS Agreement;

(d) ‘joint research’ 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 Chile;

(e)

‘demonstration project’ means the project aimed at demon-
strating the viability of new technologies, processes,
services or products
that offer a potential economic
advantage, but that cannot be directly commercialised;

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(f)

(g)

‘research and Development’ (R & D) means creative work
in a systematic way so as to increase the
carried out
and technological knowledge
human,
social
cultural,
volume and the use of
this knowledge to stem new
applications;

‘participant’ or ‘research entities’ means any physical or
legal person, research institute, firms, or any other legal
entity or undertaking established in the Community or in
Chile involved in cooperative activities,
including the
Parties themselves.

1. Participation of Chilean research and technological devel-
opment entities
the framework
to RTD projects of
programme and reciprocal participation of research and
established in the
technological development
sectors of
Community to Chilean projects
RTD. Such a participation is subject
to the rules and
procedures applicable in each Party;

in similar

entities

2. Pooling of RTD projects already implemented according to
the procedures applicable in the RTD programmes of each
Party;

Article 3

Principles

3. Joint RTD Projects under the framework of their scientific
and technological policies, especially those relating to
scientific and technological prospective activities;

Cooperative activities 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 tech-

nological development undertaken by each Party;

4. Visits and exchanges of scientists and technical experts, as
well as public, university and private specialists in the field
of design and application of scientific and technological
policies;

5. Joint organisation of seminars, conferences, symposia and
workshops, as well as participation of experts to those
activities;

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

erative activities;

6. Scientific networks and researchers training;

(d) appropriate protection of intellectual property rights.

Article 4

Scope of cooperation

1.
the
Cooperation under this Agreement may cover all
activities of research, technological development and demon-
stration, 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 Chile in the corresponding scientific and tech-
nological fields.

2.
This Agreement does not affect the participation of Chile,
as a developing country, in Community activities in the field of
research for development.

Article 5

Modalities of cooperation

this Agreement

The Parties will foster the participation of the research and
technological development bodies in the cooperation activities
under
internal
dispositions and politics, so as to offer similar opportunities
in their own research and scientific development and tech-
nological activities.

in compliance with their

Cooperative activities may take the following forms:

7. Concerted actions for dissemination of results, exchange of
experience on joint RTD projects that have been funded or
for their coordination;

8. Exchanges

and sharing of

equipment

and materials

including shared use of advanced research facilities;

9. Exchanges of information on practices,

to cooperation under

laws, regulations
this

and programmes
Agreement;

relevant

10. Any other modality that would be 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

the National Scientific

(a) The coordination and facilitation of cooperative activities
under this Agreement shall be accomplished on behalf of
Chile, by
and Technological
Research Commission (CONICYT), decentralised body of
Education, with its own juridical
the Ministry of
personality, or other organisms which Chile could notify
at any moment with previous written notice and, on behalf
of
the European
Commission,
in charge of Community RTD policies and
activities, acting as executives agents.

the Community, by the services of

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(b) The executive agents shall establish a Steering Committee
the
on S & T Cooperation, hereinafter
this
‘Steering Committee’
Agreement;
this Committee shall consist of a similar
number of official representatives of each Party and shall
have co-chairpersons from Parties; it shall establish its own
rules of procedure.

referred to as
of

the management

for

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

1. Promoting and overseeing the different cooperative
this
activities as mentioned in Articles 2 and 4 of
Agreement, as well as those that will be implemented
in the framework of RTD for development;

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

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

4. Making recommendations pursuant to Article 5, tenth

indent;

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

this Agreement

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

7. Providing an annual 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 within
the Framework Cooperation Agreement between the
European Community and Chile of June 1996.

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

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

cost

Article 7

Funding

(a) Cooperative activities shall be subject to the availability of
appropriated funds and to the laws, regulations, policies
and programmes applicable in territories of each Party.
Costs incurred on selected cooperative activities will be
shared by the participants without any transfer of funds
from one Party to the other.

(b) When a specific cooperative mechanism of one Party
confers economic support
the
other, such subventions, financial or other contributions
of one Party to the participants of the other, in support
to those activities, will be granted free of charges and
customs duties, pursuant
to the laws and dispositions
applicable in territories of each Party.

to the participants of

(c) RTD projects,

involving Chile 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 letter (a).

Article 8

Entry of personnel and equipment

Each Party shall take all appropriate 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, material, data and equipment related to
or used in cooperative activities developed by the Parties under
the provisions of this Agreement.

(d) The Steering Committee shall, as a general rule, meet
annually, preferably before the meeting of
the Joint
Committee established within the Framework Cooperation
Agreement of 1996, according to a jointly agreed schedule,
and will refer to it. The meetings should be held alter-
natively in the Community and in Chile. Extraordinary
meetings may be organised at the request of either Party.

Article 9

Diffusion and utilisation of information

1.
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 Annex to this
Agreement.

(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

This Annex called ‘Intellectual Property Rights’

2.
integral part of this Agreement.

is an

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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 the Republic of Chile.
This shall not exclude 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
both parties have notified each other in writing that their
respective
been
completed.

procedures

necessary

internal

have

(b) This Agreement shall be concluded for an initial period of
five years and may be tacitly renewed after evaluation
during the next to last year of each successive period.

(c) This Agreement may be amended by decision of the Parties.
into force within the same

Amendments
shall enter
conditions as the mentioned in letter (a).

(d) This Agreement may be terminated at any time by either
Party upon six months' written notice to the other Party

this
channels. The
through diplomatic
Agreement shall not affect the validity or duration of any
arrangements made under it, or any specific rights and
obligations that have accrued in compliance with the
Annex.

expiration of

(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
Danish, Spanish, French, Finnish, Greek, English,
Dutch, Portuguese and Swedish languages, each of
texts being equally authentic.

is drawn up in duplicate in the German,
Italian,
thes-e

In witness whereof,
thereto, have signed this Agreement.

the undersigned, being duly authorised

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

For the European Community

For the Republic of Chile

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ANNEX

INTELLECTUAL PROPERTY RIGHTS

This Annex is part of the ‘Agreement for Scientific and Technological Cooperation between the European Community
and the Republic of Chile’, hereinafter referred to as ‘the Agreement’.

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

I. APPLICATION

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

II. 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
allocated to it in accordance with this Annex. This Annex does not otherwise alter or prejudice the allocation of
rights, interests and intellectual property 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 and their participants shall ensure that they 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;

(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.

The TMP will be approved by the responsible funding agency of the Party involved in financing the research, before
the conclusion of the corresponding specific research and development cooperation contracts. 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,
transfers of data, goods or services submitted to export controls,
requirements imposed by applicable laws, and other factors deemed appropriate by the participants. The rights
and obligations concerning the research and information generated by invited 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.

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.

5. Information or intellectual property created in the course of joint research and not regulated in the TMP will be
allocated, with the agreement of the Parties, according to the principles set out in the TMP. In case of disagreement,
such information or IP shall be owned jointly by all the participants involved in the joint research from which the
information or IP results. Each participant
to use such
information or IP for his own commercial exploitation with no geographical limitation.

to whom this provision applies shall have the right

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6. Each Party will ensure that the other Party and its participants may have the rights to IP allocated to them in

accordance with the present principles.

7. While maintaining the conditions of competition in areas affected by the Agreement, each Party shall endeavour to
ensure that rights acquired pursuant to the Agreement, 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 in accordance with this

Annex.

III. 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. The IP rights will protect the expression but not the ideas,
procedures, methods or mathematical concepts as such. Only limitations or exceptions may be introduced to exclusive
rights in specific special cases that do not obstruct the normal exploitation of results nor unduly endanger the legitimate
interests of the right titular.

Without prejudice to Section IV and V, 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 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,
transmit and publicly
distribute such works.

irrevocable, royalty-free license to translate, reproduce, adapt,

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.

IV. INVENTIONS AND OTHER SCIENTIFIC AND TECHNOLOGICAL RESULTS

The inventions and other scientific and technological results arising from cooperative activities between Parties will be
owned by them, unless otherwise agreed by them.

V. 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 governmental departments or concerned 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 recog-
nisable as such, as set out above.

4. With the prior written consent of the Party providing undisclosed information, 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 confidential character of the information at the moment of
its communication.

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 the most appropriate course of action.