Proposal for a Council Decision concerning the conclusion of the Agreement for scientific and technological cooperation between the European Community and the Republic of Chile
Date: 2003-02-20
Institutions: European Commission
Subjects: Chile, cooperation agreement (EU), research and development, scientific cooperation, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 20.02.2003
COM(2003) 82 final

2003/0035 (CNS)

Proposal for a

COUNCIL DECISION

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

(presented by the Commission)

1.

2.

3.

4.

EXPLANATORY MEMORANDUM

The  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 1st February 1999), identified cooperation on science and technology as
an area of particular interest and potential.

In its communication of 19 July 1996 entitled “Promoting RTD cooperation with the
world's emerging economies” (COM(96) 344 final) the Commission recommended,
inter  alia,  that  the  Union  should  envisage  concluding  scientific  and  technological
cooperation agreements with selected emerging economies.

In  its  resolution  of  14  March  1997  on  the  Commission  communication  entitled
“Promoting  RTD  cooperation  with  the  world's  emerging  economies”  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”.

On  20  March  2000,  the  Ambassador  of  Chile  to  the  EU  presented  Commissioner
Busquin  with  Chile's  official  request  to  enter  into  negotiations  with  the  Community
with  a  view  to  concluding  a  specific  agreement  for  scientific  and  technological
cooperation.  The  various  exploratory  contacts  confirmed  that  increased  cooperation
with Chile in science and technology would be in the mutual interest of both parties.

On 20 April 2001 the Commission submitted to the Council a proposal for a Council
Decision  authorising  the  Commission  to  negotiate  an  agreement  for  scientific  and
technological  cooperation  between  the  European  Community  and  the  Republic  of
Chile.  On  10  July  2001,  the  Council  authorised  the  Commission  to  negotiate  this
agreement.  The  negotiations  resulted  in  the  draft  Agreement  and  its  annex  on
intellectual property rights, initialled on 11 December 2001 in Santiago, Chile.

On  19  March  2002,  the  Commission  submitted  to  the  Council  a  proposal  for  a
Council  Decision  authorising  the  signing  of  the  abovementioned  Agreement.  The
Council  adopted  this  decision  on  13  May  2002  and  the  Agreement  was  signed  on
23 September 2002 in Brussels.

This Agreement, to be concluded for an initial period of five years, tacitly renewable,
was  negotiated  against  the  background  of  renewed  and  intensified  cooperation
between Chile and  the  European Union,  considering  the  importance  of  science  and
technology for economic and social development and the mutual wish to extend and
strengthen the conduct of cooperative activities in areas of common interest.

The Agreement is based on the principles of mutual benefit, reciprocal opportunities
for  access  to  each  other's  programmes  and  activities  relevant  to  the  purpose  of  the
draft Agreement, non-discrimination, the effective protection of intellectual property
and equitable sharing of intellectual property rights.

Cooperation  shall  be  conducted  subject  to  the  applicable  laws  and  regulations  in
force on each side.

2

Cooperation  under  this  Agreement  may  cover  all  the  activities  of  research,
technological  development  and  demonstration  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 technological fields. This Agreement  does not affect the  participation of Chile,
as  a  developing  country,  in  Community  activities  in  the  field  of  research  for
development.

5.

The Agreement provides for:

–  participation of Chilean research and technological development entities in RTD
projects of the framework programme and reciprocal participation of research and
technological  development  entities  established  in  the  Community  in  Chilean
projects  in similar sectors  of RTD. Projects may  also include a Party's  scientific
and technological organisations and may also  be  undertaken  in  cooperation  with
the agencies and official bodies of the Parties. Such participation is subject to the
rules and procedures applicable in each Party;

–  pooling  of  RTD  projects  already  implemented  according  to  the  procedures

applicable in the RTD programmes of each Party;

–  joint  RTD  projects,  especially  those  relating  to  scientific  and  technological

foresight;

–  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;

–  joint organisation of seminars, conferences, symposia and workshops, as well as

participation of experts in those activities;

–  scientific networks and the training of researchers;

–  concerted action for the dissemination of results/exchanges of experience on joint

RTD projects that have been funded or for their coordination;

–  exchanges  and  sharing  of  equipment  and  materials  including  shared  use  of

advanced research facilities;

–  exchanges of information on practices, laws, regulations and programmes relevant

to cooperation under this Agreement;

–  any other type of activity that would be recommended by the Steering Committee
and  deemed  in  conformity  with  the  policies  and  procedures  applicable  in  both
Parties;

–  cooperation  activities  to  be  subject  to  the  availability  of  funds  and  to  the
applicable  laws  and  regulations,  policies  and  programmes  of  Chile  and  the
Community; no transfer of funds will take place.

3

6.

As  regards  dissemination  and  use  of  information,  and  the  management,  allocation
and  exercise  of  intellectual  property  rights  resulting  from  joint  research  under  the
Agreement,  they  shall  be  subject  to  the  provisions  of  the  annex  to  this  Agreement
entitled  “Intellectual  Property  Rights”  which  forms  an  integral  part  of  this
Agreement.

The principle of non-discrimination agreed under Point II.3 of the above-mentioned
annex should protect Community participants in Chilean programmes and activities
against any discriminatory treatment, also in respect of the dissemination and use of
results,  including  intellectual  property  rights.  The  Steering  Committee  shall,  inter
alia,  review  the  efficient  and  effective  functioning  of  the  Agreement,  including  the
non-discriminatory treatment of participants.

7.

In the light of the above-mentioned considerations, the Commission proposes that the
Council:

–  approve  on  behalf  of  the  Community,  and  after  consultation  of  the  European
Parliament,  the  Agreement  for  scientific  and  technological  cooperation  between
the European Community and the Republic of Chile;

–  notify the Chilean authorities that the procedures necessary for the entry into force
of the Agreement have been completed on the part of the European Community.

4

2003/0035 (CNS)

Proposal for a

COUNCIL DECISION

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

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) and Article 300(3) thereof,

Having regard to the proposal from the Commission1,
Having regard to the opinion of the European Parliament2,

Whereas:

(1)

(2)

The  Commission  has  negotiated  with  the  Republic  of  Chile,  on  behalf  of  the
Community, an Agreement for scientific and technological cooperation;

This  Agreement  was signed, on behalf  of  the Community,  on 23  September  2002  in
Brussels, subject to a possible conclusion at a later date;

(3)

The Agreement should be approved,

HAS DECIDED AS FOLLOWS:

Article 1

The  Agreement  for  scientific  and  technological  cooperation  between  the  European
Community and the Republic of Chile is approved on behalf of the Community.

The text of the Agreement is appended to this Decision.

1
2 

OJ C …, …, p. …
OJ C …, …, p. …

5

                                                
Article 2

The  President  of  the  Council  shall,  on  behalf  of  the  Community,  give  the  notification
provided for in Article 11 of the Agreement.

Done at Brussels,

For the Council
The President

6

AGREEMENT

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

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 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 point 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.

7

For the purpose of this Agreement:

Article 2 - Definitions

a)

b)

c)

d)

e)

f)

g)

'cooperative  activity'  means  any  activity  which  the  Parties  undertake  or  support,
pursuant to this Agreement, and includes joint research;

'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;

'intellectual property' shall have the meaning defined in Article 2 of the Convention
establishing  the  World  Intellectual  Property  Organisation,  done  at  Stockholm,
14 July 1967 and the TRIPS Agreement;

'joint  research'  means  research,  technological  development  or  demonstration
activities  that are implemented with financial  support  from  one  or  both  Parties  and
that involve collaboration between participants from both the Community and Chile;

'demonstration project' means a project aimed at demonstrating the viability of new
technologies,  processes,  services  or  products  that  offer  a  potential  economic
advantage, but that cannot be directly commercialised;

'research  and  development'  (R+D)  means  creative  work  carried  out  in  a  systematic
way  so  as  to  increase  the  human,  cultural,  social  and  technological  knowledge
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.

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

Article 3 - Principles

a)

b)

c)

d)

1.

mutual benefit based on an overall balance of advantages;

reciprocal  access  to  the  activities  of  research  and  technological  development
undertaken by each Party;

timely exchange of information which may affect cooperative activities;

appropriate protection of intellectual property rights.

Article 4 - Scope of cooperation

Cooperation  under  this  Agreement  may  cover  all  the  activities  of  research,
technological  development  and  demonstration,  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 technological fields.

8

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 - Types of cooperation activities

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
dispositions  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.

2.

3.

4.

5.

6.

7.

8.

9.

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

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

Joint  RTD  Projects  under  the  framework  of  their  scientific  and  technological
policies, especially those relating to scientific and technological foresight;

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;

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

Scientific networks and the training of researchers;

Concerted action  for the dissemination  of  results,  exchanges  of  experience  on  joint
RTD projects that have been funded or for their coordination,

Exchanges and sharing of equipment and materials including shared use of advanced
research facilities;

Exchanges of information on practices, laws, regulations and programmes relevant to
cooperation under this Agreement;

10.

Any  other  type  of  activity  that  would  be  recommended  by  the  Steering  Committee
and  deemed  in  conformity  with  the  policies  and  procedures  applicable  in  both
Parties.

9

Article 6 - Coordination and facilitation of cooperative activities

a)

b)

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),  a  decentralised  body  of  the  Ministry  of
Education, with its own legal personality, or other bodies which Chile could notify at
any moment with  previous  written  notice  and, on behalf  of the  Community, by the
services  of  the  European  Commission,  in  charge  of  Community  RTD  policies  and
activities, acting as executives agents.

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 the Parties; it shall
establish its own rules of procedure.

c)

The functions of the Steering Committee shall include:

1.

2.

3.

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

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;

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.

6.

7.

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

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

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.

d)

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

10

e)

f)

a)

b)

c)

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.

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

Article 7 - Funding

Cooperative  activities  shall  be  subject  to  the  availability  of  funds  and  to  the  laws,
regulations, policies and programmes applicable in the 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.

When  a  specific  cooperative  mechanism  of  one  Party  confers  economic  support  to
the participants of the other, such grants, 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  regulations  applicable  in  the
territories of each Party.

RTD projects, involving  Chile  as developing  country,  sponsored  under  Community
activities  in  the  field  of  research  for  development  will  be  excluded  from  the
provisions specified under Article 7(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  territories  of  each  Party,  to  facilitate  entry  to,  stay  in  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.

Article 9 - Dissemination and use of information

1.

2.

The  dissemination  and  use  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 to this Agreement.

This  Annex,  entitled  “Intellectual  Property  Rights”,  is  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

11

activities on the high seas, outer space, or the territory of third countries, in accordance with
international law.

a)

b)

c)

d)

e)

Article 11 - Entry into force, termination and dispute settlement

This Agreement shall enter into force on the date on which both parties have notified
each  other  in  writing  that  their  respective  necessary  internal  procedures  have  been
completed.

This  Agreement  shall  be  concluded  for  an  initial  period  of  five  years  and  may  be
tacitly renewed after evaluation during the penultimate year of each five-year period.

This  Agreement  may  be  amended  by  agreement  between  the  Parties.  Amendments
shall enter into force under the same conditions as mentioned in point a).

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
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.

All  questions  or  disputes  related  to  the  interpretation  or  implementation  of  this
Agreement shall be settled by mutual agreement between the Parties.

Article 12

This  Agreement  is  drawn  up  in  duplicate  in  German,  Danish,  Spanish,  French,  Finnish,
Greek,  English,  Italian,  Dutch,  Portuguese  and  Swedish,  each  of  these  texts  being  equally
authentic.

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

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

For the European Community

For the Republic of Chile

12

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.

1.

2.

OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS

For the purpose of this Annex, "intellectual property" is defined in Article 2(c) of the
Agreement.

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  use  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)

b)

c)

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;

effective  exploitation  of  results,  taking  into  account  the  contributions  of  the
Parties and their participants;

non-discriminatory treatment of participants from the other Party as compared
with the treatment given to its own participants;

d)

protection of confidential business information.

4.

The  participants  shall  jointly  develop  a  Technology  Management  Plan  (TMP)
concerning  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

13

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.

The  TMP  is  a  specific  agreement  to  be  concluded  between  participants  in  joint
research defining their respective rights and obligations.

With respect to IP, the TMP will normally address, among other things, ownership,
protection,  user  rights  for  research  and  development  purposes,  exploitation  and
the  rights  and
dissemination, 
obligations of visiting researchers and dispute settlement procedures. The TMP shall
also address foreground and background information, licensing and deliverables.

including  arrangements  for 

joint  publication, 

5.

6.

7.

8.

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 whom this provision applies
shall  have  the  right  to  use  such  information  or  IP  for  his  own  commercial
exploitation with no geographical limitation.

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.

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.

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 holder.

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.  Subject  to  the
foregoing general rule, the following procedures shall apply:

14

1.

2.

3.

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.

The Parties shall ensure that literary works of a scientific character arising from joint
research  pursuant  to  the  Agreement  and  published  by  independent  publishers  are
disseminated as widely as possible.

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.

INVENTIONS  AND  OTHER  SCIENTIFIC  AND  TECHNOLOGICAL

IV.
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.

A.

1.

UNDISCLOSED INFORMATION

Documentary undisclosed information

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)

b)

c)

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;

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  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.

15

3.

4.

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 recognisable as such, as set out above.

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.

Protection

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.

16

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): RTD

Activity: International S&T cooperation

TITLE  OF  ACTION:  PROPOSAL  FOR  A  COUNCIL  DECISION  CONCERNING  THE  CONCLUSION  OF
THE AGREEMENT FOR SCIENTIFIC AND TECHNOLOGICAL COOPERATION BETWEEN THE
EUROPEAN COMMUNITY AND THE REPUBLIC OF CHILE

1.

BUDGET HEADING(S) + TITLES

1.1.

Relevant budget headings

Costs  associated  with  the  activities  of  monitoring  and  implementing  the  Agreement  will  be
charged  to  the  specific  budget  headings  of  the  programmes  under  the  Community  RTD
framework  programme  (Chapter  B6-6013:  other  management  expenditure  in  the  field  of
RTD).

2.

OVERALL FIGURES

2.1.

Method of calculating the total annual cost of the operation (estimate)

a.

Preparatory  activities  and  review  of  the  cooperation:  meetings  of  the  Steering
Committee on Science and Technology cooperation, exchanges of information, visits
of officials and experts to Chile

50 000 €

b.

Scientific and technical workshops/meetings

60 000 €

TOTAL : 110 000 /year

3.

BUDGET CHARACTERISTICS

Type of expenditure

New

EFTA
contribution

Contribution
from
applicant
Countries

Heading in
financial
perspectives

Non-comp

Diff

No

Yes

Yes

No. 3

4.

LEGAL BASIS

–  With  legal  basis.  -  [Multi-annual  programme  -  Codecision  (with  privileged  financial

reference)].

17

4.1.

Titles and reference

–  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)  and
Article 300(3)

–  Decision No 1513/2002/EC of the European Parliament and the Council of 27 June 2002
concerning  the  sixth  framework  programme  of  the  European  Community  for  research,
technological development and demonstration activities, contributing to the creation of the
European Research Area and to innovation (2002-2006).

5.

DESCRIPTION AND GROUNDS

5.1.

Need for Community intervention

Community  budget  intervention  is  indispensable  because  the  planned  cooperation  comes
under  the  implementation  of  the  framework  programmes,  including  the  budgetary  section:
participation  by Chile  in certain  specific  programmes  and  administrative expenditure on  the
European side (missions by Community officials, organisation of seminars in the Community
and in Chile).

5.1.1. Objectives pursued

The main objective is to stimulate RTD  cooperation  between  the  European  Community  and
Chile in the areas covered by the framework programmes.

–  the Agreement is designed to enable the Community and Chile to profit, on the basis of the
principle of mutual benefit, from the scientific and technical progress achieved under their
respective  research  programmes,  by  means  of  participation  by  the  Chilean  scientific
community  and  Chilean  industry  in  Community  research  projects  and  independent
participation,  without  funding,  by  bodies  established  in  the  Community  in  Chilean
projects;

–  beneficiaries in the EC and Chile will be scientific communities, the industrial sector and

the general public, thanks to the direct and indirect effects of cooperation.

5.1.2. Duration

The  Agreement  shall  be  concluded  for  an  initial  period  of  five  years  and  may  be  tacitly
renewed after evaluation during the penultimate year of each five-year period.

5.2.

Actions envisaged and budget intervention arrangements

5.2.1.

Type of expenditure

100%  grant  (missions  to  Chile  by  Commission  officials  and  experts;  organisation  of
workshops, seminars and meetings in the European Community and in Chile).

18

6.

6.1.

FINANCIAL IMPACT

Operational  expenses  of  administrative  and  technical  type  included  in  Part  B
(for the whole programming period)

6.1.1.

Expenditure on management of the Decision (estimate)

Indicative breakdown, amounts (expressed in millions of euros)

Commitments

Payments

2003

2004

2005

2006

0.11

0.11

0.11

0.11

0.11

0.11

0.11

0.11

7.

FOLLOW-UP AND EVALUATION

7.1.

Follow-up arrangements

The  Cooperation  Agreement  will  be  regularly  assessed  by  the  relevant  Commission
departments.

This assessment will cover the following:

a.

b.

Collection  of  information:  based  on  the  data  from  the  specific  programmes  of  the
framework programmes.

General  assessment  of  the  operation:  an  evaluation  of  all  the  cooperation  activities
under this Agreement will be made by the Commission's departments at the end of
each year.

8.

ANTI-FRAUD MEASURES

Numerous administrative and financial controls are foreseen at each stage of the cooperation
activities in the context of this Agreement. This concerns in particular:

–  checks, at different levels, of the cost statements before payment (financial, scientific and

technical control);

–  internal audit by the audit service;

–  controls  (including  inspections  done  at  the  place  of  work)  by  the  audit  service  of  the

Commission and by the EU Court of Auditors.

19