Agreement for cooperation between the Government of the Republic of Kazakhstan and the European Atomic Energy Community in the field of controlled nuclear fusion
Date: 2002-11-29
Institutions: European Atomic Energy Community, Kazakhstan
Subjects: EAEC, Kazakhstan, cooperation agreement (EU), nuclear energy, nuclear fusion, scientific cooperation

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for cooperation between the Government of the Republic of Kazakhstan and the European Atomic
Energy Community in the field of controlled nuclear fusion

AGREEMENT

THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN,

of the one part, and

THE EUROPEAN ATOMIC ENERGY COMMUNITY,

of the other part,

hereinafter referred to as ‘the Community’, both also generally referred to hereinafter as the ‘Party’ or ‘Parties’, as
appropriate,

RECALLING that the Agreement on Partnership and Cooperation was signed on 23 January 1995 by the European
Communities and their Members States and Kazakhstan;

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

NOTING that the Community fusion programme is a broad-based comprehensive programme based on the toroidal
magnetic confinement;

NOTING that the Fusion Programme of Kazakhstan is a focused programme concentrating on the specifics strengths of
fusion science and technology in Kazakhstan;

RECOGNISING the mutual benefits to be obtained by establishing closer links between the Parties' scientific communities
working in the field of controlled nuclear fusion;

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

HAVE AGREED AS FOLLOWS:

Article 1

Article 3

The objective of this Agreement is to maintain and intensify
cooperation between the Parties in the areas covered by their
respective fusion programmes on the basis of mutual benefit in
order to develop the scientific understanding and technological
capability underlying a fusion power system.

Cooperation in the areas referred to in Article 2 may include
the following activities:

(a) exchange and provision of information;

Article 2

(b) exchange and provision of personnel;

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

(c) meetings of various forms;

(a) experimental and theoretical studies of plasma confinement,
transport, heating and current drive (including the devel-
opment of
in
magnetic devices;

and diagnostics,

related RF

systems)

(b) fusion technology;

(c) applied plasma physics;

(d) programme policies and plans; and

(d) exchange

and provision of

samples,

instruments

and

apparatus for experimental and evaluation purposes;

(e) balanced participation in joint studies and activities;

(f)

in either Party’s contribution to the fusion
involvement
programmes or projects involving third parties, subject to
the consent, if required, of such third parties; and

(e) other areas as may be agreed.

(g) other activities as may be agreed.

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Article 4

To the extent necessary,

1.
specific cooperative actions shall be concluded between:

implementing arrangements on

(b) determining the specific tasks to be undertaken in the areas
referred to in Article 2 of this Agreement, without prejudice
to the taking of autonomous decisions by the Parties on
their respective programmes.

the Community or any organisation associated with it within
the
fusion programme,
the Community
designated by the Community for this purpose;

framework of

All decisions of the Coordinating Committee shall be by

3.
unanimity.

Government of the Republic of Kazakhstan, the executive body
of which for those purposes is the Ministry of Energy and
Mineral Resources of the Republic of Kazakhstan or any other
organisation, designated by the Republic of Kazakhstan for this
purpose.

For periods between meetings of

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

2.
Specific terms and conditions necessary to implement
activities listed in Article 3 shall be mutually agreed by both
parties in the implementing arrangements and shall contain:

Article 6

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

(a) specific details, procedures and financing provisions for

individual cooperative activities;

(b) assignment of

the operational
responsibility
management of the concerned activity to a single organi-
sation or operating agent;

the

for

(c) detailed provisions on dissemination of

information and

treatment of intellectual property.

3.
this
Each Party shall coordinate its activities under
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 minimise 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 Kazakhstan or at any other agreed time and place. The
the
Head of Delegation of
meeting.

the receiving Party shall chair

The functions of

2.
include:

the Coordinating Committee

shall

Article 7

Utilisation and diffusion of
information and intellectual
property rights including industrial property, patents and copy-
rights connected with the cooperative activities under
this
Agreement shall be in accordance with the Annexes, 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.

Article 9

Performance of the Parties under this Agreement shall be

1.
subject to the availability of appropriated funds.

Cooperation under this Agreement shall be in accordance

2.
with the laws and regulations applicable.

Each Party shall use its best endeavours, within the
3.
framework of the 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.

(a) assessing the state of cooperation under this Agreement;

4.
Compensation for damages incurred during the imple-
mentation of this Agreement shall be in accordance with the
laws and regulations applicable.

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Article 10

Subject to the laws and regulations applicable, the Parties shall
endeavour to settle all questions connected with this Agreement
through consultations between themselves.

Article 11

This Agreement shall enter into force on the date (1)
1.
which the Parties, by an exchange of diplomatic notes, specify
for its entry into force and shall remain in force for an initial
period of 10 years.

Thereafter, this Agreement shall be automatically renewed
2.
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.

In the

event of

termination or

this
3.
Agreement shall remain in force in its previous form, with
respect to cooperation activities effectively entered into prior
to the request for termination or renegotiation and to imple-
menting arrangements as envisaged in Article 4, until the end of
such activities and arrangements.

renegotiation,

Termination of this Agreement shall not affect rights and

4.
obligations under Article 7.

Article 12

This Agreement shall apply,
in so far as the Community is
concerned, to the territories in which the Treaty establishing
the European Atomic Energy Community applies and to the
territories of
the countries participating in the Community
fusion programme as fully associated third States.

Article 13

This Agreement shall be drawn up in duplicate in the Danish,
Italian,
Dutch, English,
Portuguese, Spanish, Swedish, Kazakh and Russian languages,
each text being equally authentic.

French, German, Greek,

Finnish,

Done in Brussels, 29 November 2002.

For the European Atomic Energy
Community

For the Government of the
Republic of Kazakhstan

Philippe BUSQUIN

Akhmetzhan S. YESSIMOV

(1) 13 April 2004.

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ANNEX I

Guiding principles on the allocation of intellectual property rights (*) resulting from joint research under the
Cooperation Agreement in the field of controlled nuclear fusion

I. OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS

1. All research carried out pursuant to this Agreement shall be ‘joint research’. The participants shall jointly develop joint
technology management plans (TMPs) (**) in respect of the ownership and use, including publication, of information
and intellectual property (IP) to be created in the course of joint research. Those plans 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, the advantages and
disadvantages of licensing by territory or for fields of use, requirements imposed by laws applicable and other factors
deemed appropriate by the participants. The rights and obligations concerning the research generated by visiting
researchers in respect of IP shall also be addressed in the joint technology management plans.

2. Information or IP created in the course of joint research and not addressed in the technology management plan shall
be allocated, with the approval of the Parties, according to the principles set out in the technology management plan.
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 whom this provision applies shall have the right
to use such information or IP for his own commercial exploitation with no geographical limitation.

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

accordance with these principles.

4. While maintaining the conditions of competition in areas affected by the Agreement each Party shall endeavour to
ensure that rights acquired pursuant to this 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;

(ii) the adoption and implementation of international standards.

II. COPYRIGHT WORKS

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

III. SCIENTIFIC LITERARY WORKS

Without prejudice to Section IV, 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:

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 this Agreement, the other Party shall be
entitled to a worldwide, non-exclusive, irrevocable, royalty-free licence to translate, reproduce, adapt, transmit and
publicly distribute such works;

2. the Parties shall 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;

3. all copies of a copyrights work to be publicly distributed and prepared under this provision shall indicate the names of
the author(s) of the work unless an author or authors expressly declines or decline to be named. They shall also bear a
clearly visible acknowledgement of the cooperative support of the Parties.

(*) Definitions of the concepts referred to in these guiding principles are set out in Annex II.
(**) The indicative features of such TMPs are set out in Annex III.

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A. Documentary undisclosed information

IV. UNDISCLOSED INFORMATION

1. Each Party or its participants, as appropriate, shall identify at the earliest possible moment and preferably in the
technology management plan 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,

— 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 the 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 undisclosed information under this Agreement and its ensuing privileged nature is readily
recognisable 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 the 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.

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 in 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 an agreement of confidentiality and shall be readily recognisable as such, as set out
above.

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

B. Non-documentary undisclosed information

Non-documentary undisclosed or other confidential or privileged information provided in seminars and other meetings
arranged under this Agreement, or information arising from the attachment of staff, use of facilities, or joint projects,
shall be treated by the Parties or their participants according to the principle 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 of the confidential character of the information communicated at he time such communication is made.

C. 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 A and B, 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.

INTELLECTUAL PROPERTY: shall have the meaning found in Article 2 of the Convention establishing the World
Intellectual Property Organisation, done at Stockholm on 14 July 1967.

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

Agreement.

3.

4.

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

INFORMATION: scientific or technical data, results or methods of research and 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.

ANNEX III

INDICATIVE FEATURES OF A TECHNOLOGY MANAGEMENT PLAN (TMP)

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