Agreement for scientific and technological cooperation between the European Community and the Republic of Chile
Date: 2002-09-23
Institutions: Chile, European Community
Subjects: Chile, 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 Republic
of Chile

AGREEMENT

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

of the one part, and

THE REPUBLIC OF CHILE (hereinafter referred to as Chile),

of the other part,

hereinafter referred to as the Parties;

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

CONSIDERING the importance of science and technology for their economic and social development and Article 16 of
the Framework Cooperation Agreement leading ultimately to the establishment of a political and economic association,
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 in 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 reciprocity;

DESIRING to create a formal cooperation basis in scientific and technological research with a view to extend and inten-
sify 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 this Agreement 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
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 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 advan-
tage, but that cannot be directly commercialised;

(f) ‘research and development’

(R+D) means creative work
in a systematic way so as to increase the
carried out
human,
and technological knowledge
volume and the use of this knowledge to stem new applica-
tions;

cultural,

social

(g) ‘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.

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Article 3

Principles

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;

Cooperative activities shall be conducted on the basis of the
following principles:

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

5.

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

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

gical development undertaken by each Party;

6. scientific networks and researchers training;

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

tive activities;

(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.

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

Article 5

Modalities of cooperation

The Parties will foster the participation of the research and
technological development bodies in the cooperation activities
under this Agreement in compliance with their internal disposi-
tions and politics, so as to offer similar opportunities in their
own research and scientific development and technological
activities.

Cooperative activities may take the following forms:

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

entities

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

3.

joint RTD projects under the framework of their scientific
and technological policies, especially those relating to
scientific and technological prospective activities;

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,

laws, regulations
and programmes relevant to cooperation under this Agree-
ment;

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

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

the Commission of

(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 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.

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

1. promoting and overseeing the different cooperative
activities as mentioned in Articles 2 and 4 of this Agree-
ment, 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,
points 1 and 2, among the potential sectors for RTD
those priority sectors or sub-sectors of
cooperation,
mutual interest in which cooperation is sought;

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3. proposing, pursuant to Article 5, point 2, to the scien-
tists of both Parties the pooling of their projects which
would be of mutual benefit and complementary;

4. making recommendations pursuant to Article 5, point

10;

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 ongoing
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 of June 1996.

(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 shall be held alternatively
in the Community and in Chile. Extraordinary meetings
may be organised at the request of either Party.

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 regulations applicable in
the territories of each Party.

(c) RTD projects, involving Chile as developing country, spon-
sored under Community's activities in the field of research
for development, will be excluded from the provisions
specified under (a).

Article 8

Entry of personnel and equipment

Each Party shall take all appropriate steps and use its best
efforts, pursuant to the laws and regulations applicable in the
territories 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 this Agreement.

Article 9

Dissemination and utilisation of information

(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 co-
chairpersons of the Steering Committee.

The dissemination and utilisation of information, and the
1.
management, allocation and exercise of intellectual property
rights resulting from joint research under this Agreement shall
be subject to the requirements of the Annex hereto.

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

those meetings,

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 to the participants of the other,
such subventions, financial or other contributions of one

2.

This Annex shall form 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 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
been
respective
completed.

procedures

necessary

internal

have

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(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.

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

implementation of
mutual agreement between the Parties.

(c) This Agreement may be amended by decision of the Parties.
Amendments shall enter into force under the same condi-
tions as those 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
through diplomatic channels. The expiration of this Agree-
the validity or duration of any
ment shall not affect
arrangements made under it, or any specific rights and obli-
gations that have accrued in compliance with the Annex.

Article 12

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

IN WITNESS WHEREOF, the undersigned Plenipotentiaries, duly
empowered to this effect, have signed this Agreement.

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Hecho en Bruselas, el veintitrés de septiembre de dos mil dos.
Udfærdiget i Bruxelles, den treogtyvende september to tusind og to.
Geschehen zu Brüssel am dreiundzwanzigsten September zweitausendundzwei.
Έγινε στις Βρυξέλλες, στις είκοσι τρεις Σεπτεµβρίου δύο χιλιάδες δύο.
Done at Brussels on the twenty-third day of September in the year two thousand and two.
Fait à Bruxelles, le vingt-trois septembre deux mille deux.
Fatto a Bruxelles, addì ventitre settembre duemiladue.
Gedaan te Brussel, de drieëntwintigste september tweeduizendtwee.
Feito em Bruxelas, em vinte e três de Setembro de dois mil e dois.
Tehty Brysselissä kahdentenakymmenentenäkolmantena päivänä syyskuuta vuonna kaksituhattakaksi.
Som skedde i Bryssel den tjugotredje september tjugohundratvå.

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 la República de Chile
På Republikken Chiles vegne
Für die Republik Chile
Για τη ∆ηµοκρατία της Χιλής

For the Republic of Chile
Pour la République du Chili
Per la Repubblica del Cile
Voor de Republiek Chili
Pela República do Chile
Chilen tasavallan puolesta
För Republiken 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 the purpose of this Annex ‘intellectual property’ (IP) 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 IP allocated to it in
accordance with this Annex. This Annex does not otherwise alter or prejudice the allocation of rights, interests
and IP 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 shall also be guided by, and contractual arrangements should provide for, the following principles:

(a) effective protection of IP. The Parties and their participants shall ensure that they notify one another within a
reasonable time of the creation of any IP arising under the Agreement or implementation arrangements and
seek protection for such IP 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 to 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 IP 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 disadvan-
tages 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) with respect to IP shall also be addressed in the joint technology manage-
ment 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 IP 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 informa-
tion or IP shall be owned jointly by all the participants involved in the joint research from which the information
or IP results. Each participant to whom this provision applies shall have the right to use such information or IP
for his own commercial exploitation with no geographical limitation.

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6. 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 parti-
cular:

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

ment, 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 exclu-
sive rights in specific special cases that do not obstruct the normal exploitation of results nor unduly endanger the
legitimate interests of the right holder.

Without prejudice to Sections IV and V, and unless otherwise agreed in the TMP, publication of results of research
shall be made 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 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 as widely as possible literary works of a scientific character arising

from joint research pursuant to the Agreement and published by independent publishers.

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 infor-
mation, 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 agen-
cies of the receiving Party authorised for the specific purposes of the joint research under way, provided that
any undisclosed information so disseminated shall be pursuant to a written agreement of confidentiality and
shall be readily recognisable as such, as set out above.

4. With the prior written consent of the Party providing undisclosed information, the receiving Party may disse-
minate such undisclosed information more widely than otherwise permitted in paragraph 3. The Parties shall
cooperate in developing procedures for requesting and obtaining prior written consent for such wider disse-
mination, and each Party will grant such approval to the extent permitted by its domestic policies, laws and
regulations.

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 docu-
mentary information in the Agreement; provided, however, that the recipient of such undisclosed or other confi-
dential or privileged information has been made aware in advance and in written form of the confidential char-
acter 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.