Agreement on Scientific and Technological Cooperation between the European Community and the European Atomic Energy Community, of the one part, and the Swiss Confederation, of the other part
Date: 2004-01-16
Institutions: European Atomic Energy Community, European Community, Switzerland
Subjects: EAEC, Switzerland, cooperation agreement (EU), nuclear energy, scientific cooperation, technical cooperation

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on Scientific and Technological Cooperation between the European Community and the European
Atomic Energy Community, of the one part, and the Swiss Confederation, of the other part

AGREEMENT

THE COUNCIL OF THE EUROPEAN UNION, acting on behalf of the European Community, and THE COMMISSION OF
THE EUROPEAN COMMUNITIES (hereinafter referred to as ‘the Commission’), acting on behalf of the European Atomic
Energy Community, hereinafter referred to collectively as ‘the Communities’,

of the one part, and

THE SWISS FEDERAL COUNCIL, acting on behalf of the Swiss Confederation, hereinafter referred to as ‘Switzerland’,

of the other part,

hereinafter referred to as ‘the Parties’,

CONSIDERING that the close relationship between Switzerland and the Communities is of benefit to the Parties;

CONSIDERING the importance of scientific and technological research for the Communities and for Switzerland and
their mutual interest in cooperating in this matter in order to make better use of resources and to avoid unnecessary
duplication;

WHEREAS Switzerland and the Communities are currently implementing research programmes in fields of common
interest;

WHEREAS the Communities and Switzerland have an interest in cooperating on these programmes to their mutual
benefit;

CONSIDERING the interest of the Parties in encouraging the mutual access of their research entities to research and
technological development activities in Switzerland, on the one hand, and to the Communities' Framework Programmes
for research and technological development, on the other;

WHEREAS the European Atomic Energy Community and Switzerland concluded a Cooperation Agreement in 1978 in
the field of controlled thermonuclear fusion and plasma physics (hereinafter referred to as the ‘Fusion Agreement’);

WHEREAS the Parties concluded a Framework Agreement on 8 January 1986 for scientific and technical cooperation,
which entered into force on 17 July 1987 (hereinafter referred to as ‘the Framework Agreement’);

CONSIDERING that Article 6 of the Framework Agreement states that the cooperation aimed at by the Framework
Agreement is to be carried out through appropriate agreements;

WHEREAS on 21 June 1999 the Communities and Switzerland signed an Agreement on Scientific and Technological
Cooperation (1), which expired on 31 December 2002;

CONSIDERING that Article 9(2) of the abovementioned Agreement provides for renewal of the Agreement with a view
to participation in new multiannual Framework Programmes for research and technological development, under
mutually agreed conditions;

WHEREAS the Sixth Framework Programme of the European Community for research, technological development and
demonstration activities (2002 to 2006) (hereinafter referred to as ‘the Sixth EC Framework Programme’) was adopted
by Decision No 1513/2002/EC (2) and Regulation (EC) No 2321/2002 (3) of the European Parliament and of the Council,
and by Council Decisions 2002/834/EC (4), 2002/835/EC (5) and 2002/836/EC (6) and the Sixth Framework Programme
of the European Atomic Energy Community (Euratom) for nuclear research and training activities, also contributing to
the creation of the European Research Area (2002 to 2006) was adopted by Council Decision 2002/668/Euratom (7),
Council Regulation (Euratom) No 2322/2002 (8) and Council Decisions 2002/837/Euratom (9) and 2002/838/
Euratom (10) (hereinafter referred to as ‘the Sixth EC and Euratom Framework Programmes’);

(1) OJ L 114, 30.4.2002, p. 468.
(2) OJ L 232, 29.8.2002, p. 1.
(3) OJ L 355, 30.12.2002, p. 23.
(4) OJ L 294, 29.10.2002, p. 1.
(5) OJ L 294, 29.10.2002, p. 44.
(6) OJ L 294, 29.10.2002, p. 60.
(7) OJ L 232, 29.8.2002, p. 34.
(8) OJ L 355, 30.12.2002, p. 35.
(9) OJ L 294, 29.10.2002, p. 74.
(10) OJ L 294, 29.10.2002, p. 86.

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WHEREAS without prejudice to the provisions of the Treaties establishing the Communities, this Agreement and any
activities entered into under it will in no way affect the powers vested in the Member States to undertake bilateral activ-
ities with Switzerland in the fields of science, technology, research and development, and to conclude, where appro-
priate, agreements to that end,

HAVE AGREED AS FOLLOWS:

Article 1

Subject matter

2. Financial contribution by Switzerland to the budgets of the
programmes adopted for the implementation of the Sixth
EC and Euratom Framework Programmes, as defined in
Article 5(2).

1.
The form and conditions of Swiss participation in the
implementation of the whole of the Sixth EC and Euratom
Framework Programmes shall be as laid down in this Agree-
ment, without prejudice to the terms of the Fusion Agreement.
Legal entities established in Switzerland may participate in all
the specific programmes of the Sixth EC and Euratom Frame-
work Programmes.

2.
Swiss legal entities may participate in the activities of the
Joint Research Centre of the Communities, as far as this partici-
pation is not covered by paragraph 1.

3. Participation of legal entities established in the Communities
in Swiss research programmes and/or projects decided by
the Federal Council on themes equivalent to those of the
Sixth EC and Euratom Framework Programmes, in accord-
ance with the terms and conditions laid down in the rele-
vant Swiss regulations and with the agreement of the part-
ners in the specific project and the management of the
corresponding Swiss programme. Legal entities established
in the Communities participating
research
programmes and/or projects shall cover their own costs,
including their
the project's general
management and administrative costs.

relative share of

in Swiss

Legal entities established in the Communities, including
3.
the
in research
Joint Research Centre, may participate
programmes and/or projects in Switzerland on themes equiva-
lent to those of the programmes of the Sixth EC and Euratom
Framework Programmes.

4. In addition to timely provision of information and docu-
mentation concerning the implementation of the Sixth EC
the Swiss
and Euratom Framework Programmes and of
programmes and/or projects, the cooperation between the
Parties may include the following forms and means:

For the purposes of this Agreement ‘legal entity’ means
4.
any natural or any legal person created under the national law
at its place of establishment or under Community law, having
legal personality and being entitled to have rights and obliga-
tions of any kind in its own name. This shall include, inter alia,
companies,
universities,
including small and medium-sized enterprises, and individuals.

research organisations,

industrial

(a) regular exchanges of views on research policy guidelines
and priorities and plans in Switzerland and in the
Communities;

(b) exchanges of views on the prospects and development

of cooperation;

(c) timely exchanges of information on the implementation
of the research programmes and projects in Switzerland
and in the Communities and on the results of the work
undertaken under this Agreement;

Article 2

(d) joint meetings;

Forms and means of cooperation

Cooperation shall take the following forms:

1. Participation of legal entities established in Switzerland in all
the Sixth EC and
specific programmes adopted under
Euratom Framework Programmes,
in accordance with the
terms and conditions laid down in the rules for the partici-
pation of undertakings, research centres and universities
both in research, technological development and demonstra-
tion activities of the European Community and in research
and training activities of the European Atomic Energy Com-
munity.

Switzerland shall be taken into consideration, alongside the
Member States of the European Union, for any indirect
action under the Sixth EC Framework Programme based on
Article 169 of the Treaty establishing the European Com-
munity, subject to participation in the same indirect action
by at least two Member States or associated candidate coun-
tries.

(e) visits and exchanges of researchers, engineers and tech-

nicians;

(f) regular contacts and follow-up between programme or
project leaders in Switzerland and in the Communities;

(g) participation by experts in seminars, symposia and

workshops.

Article 3

Adaptation

Cooperation may be adapted and developed at any time by
mutual agreement between the Parties.

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Article 4

Article 6

Intellectual property rights and obligations

Switzerland/Communities Research Committee

Subject to Annex A and applicable law,

1.
legal entities
established in Switzerland participating in the Communities'
research programmes shall, as regards ownership, exploitation
information and intellectual property
and dissemination of
arising from such participation, have the same rights and obli-
gations as legal entities established in the Communities. This
provision shall not apply to the results obtained from projects
started before the entry into force of this Agreement.

1.
The Switzerland/Communities Research Committee set up
in the Framework Agreement shall review, evaluate and ensure
this Agreement. Any issues
the proper implementation of
arising from the implementation or
this
interpretation of
Agreement shall be referred to this Committee.

The Committee may decide to amend the references to

2.
Community acts in Annex C.

Subject to Annex A and applicable law,

2.
legal entities
established in the Communities taking part in Swiss research
programmes and/or projects, as provided for in Article 2(3),
shall, as regards ownership, exploitation and dissemination of
information and intellectual property arising from such partici-
pation, have the same rights and obligations as legal entities
established in Switzerland participating in the programmes
and/or projects in question.

Article 5

Financial provisions

Commitments entered into by the Communities prior to
1.
the entry into force of
this Agreement — as well as the
payments which result from these — shall give rise to no
contribution on the part of Switzerland. Switzerland's financial
contribution deriving from participation in the implementation
of the Sixth EC and Euratom Framework Programmes shall be
established in proportion to and in addition to the amount
available each year in the general budget of the European
Union for commitment appropriations to meet the Commis-
sion's financial obligations stemming from work to be carried
out in the forms necessary for the implementation, manage-
ment and operation of the programmes and activities covered
by this Agreement.

2.
The proportionality factor governing Switzerland's contri-
bution to the Sixth EC and Euratom Framework Programmes,
except the Fusion Programme, shall be obtained by establishing
the ratio between Switzerland's gross domestic product, at
market prices, and the sum of gross domestic products, at
market prices, of the Member States of the European Union.
The Swiss contribution to the Fusion Programme shall continue
to be calculated on the basis of the corresponding agreement.

This ratio shall be calculated on the basis of the latest statistical
data from Eurostat, available at the time of publication of the
preliminary draft budget of the European Union for the same
year.

The rules governing Switzerland's financial contribution

3.
are set out in Annex B.

Article 7

Participation

1. Without prejudice to the provisions of Article 4,
legal
entities established in Switzerland participating in the Sixth EC
and Euratom Framework Programmes shall have the same
contractual rights and obligations as entities established in the
Communities.

2.
For legal entities established in Switzerland, the terms and
conditions applicable for the submission and evaluation of
proposals and those for
the granting and conclusion of
contracts under the Communities' programmes shall be the
same as those applicable for contracts concluded under the
same programmes with legal
established in the
Communities.

entities

3.
An appropriate number of Swiss experts shall be taken
into consideration in the selection of evaluators or referees
under the Communities' research and technological develop-
ment programmes.

4. Without prejudice to the provisions of Article 1(3),
Article 2(3) and Article 4(2) and to existing regulations and
rules of procedure, legal entities established in the Communities
may participate under equivalent terms and conditions to Swiss
partners in programmes and/or projects of the Swiss research
programmes mentioned in Article 2(3). The Swiss authorities
may make participation in a project by one or more legal enti-
ties established in the Communities subject to joint participa-
tion by at least one Swiss entity.

Article 8

Mobility

Each Party shall undertake, in accordance with existing regula-
tions and agreements in force, to guarantee the entry and stay
— as far as indispensable for successful accomplishment of the
activity concerned — of a limited number of their researchers
in Switzerland and in the Communities, in the
participating,
activities covered by this Agreement.

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Article 9

Article 13

Revision and future collaboration

Amendment and termination

1.
Should the Communities revise or extend their research
programmes, this Agreement may be revised or extended under
mutually agreed conditions. The Parties shall exchange informa-
tion and views concerning any such revision or extension, as
well as on any matters which affect directly or indirectly Swit-
zerland's cooperation in the fields covered by the Sixth EC and
Euratom Framework Programmes. Switzerland shall be notified
of the exact content of the revised or extended programmes
within two weeks of their adoption by the Communities. In
case of such revision or extension of the research programmes,
Switzerland may terminate this Agreement by giving six
months' notice. The Parties shall give notice of any intention to
terminate or to extend this Agreement within three months
after the adoption of the Communities' decision.

2.
Should the Communities adopt new multiannual Frame-
work Programmes for research and technological development,
this Agreement may be renewed or renegotiated under condi-
tions agreed mutually between the Parties. The Parties shall
exchange information and views on the preparation of such
programmes or other current and future research activities
through the Switzerland/Communities Research Committee.

Article 10

Relation to other international agreements

The provisions of this Agreement shall apply without prejudice
to the advantages envisaged by other international agreements
binding one of the Parties and reserved only for legal entities
established on the territory of that Party.

Article 11

Territorial application

This Agreement shall apply, on the one hand, to the territories
in which the Treaties establishing the Communities are applied
and under the conditions laid down in those Treaties and, on
the other, to the territory of Switzerland.

Article 12

Annexes

Annexes A, B and C shall
Agreement.

form an integral part of

this

This Agreement shall apply for the duration of the Sixth

1.
EC and Euratom Framework Programmes.

This Agreement may be amended only in writing by
2.
common consent between the Parties. The procedure for entry
into force of the amendments shall be the same as the proce-
dure applicable to this Agreement.

Each Party may terminate this Agreement at any time,

3.
subject to six months' written notice.

Projects and activities in progress at the time of termina-
4.
tion and/or expiry of this Agreement shall continue until their
completion under the conditions laid down in this Agreement.
The Parties shall settle by common consent any other conse-
quences of termination.

Article 14

Entry into force and provisional application

1.
This Agreement shall be ratified or concluded by the
Parties in accordance with their respective rules. It shall enter
into force on the dates of the final notification of completion
of the procedures necessary to this end and shall come into
effect on 1 January 2004.

2.
Should the procedures for ratification or conclusion of
the Agreement signed not be completed in 2003, the Parties
shall apply this Agreement provisionally from 1 January 2004
until its entry into force.

Should one of the Parties inform the other that it will not
conclude the Agreement, it is hereby agreed that:

— the Communities shall reimburse to Switzerland its contri-
bution to the general budget of the European Union, as
provided for in Article 2(2),

— however,

the funds committed by the Communities for
participation by legal entities established in Switzerland in
indirect action, including the reimbursements provided for
in Article 2(1), shall be deducted by the Communities from
the abovementioned reimbursement,

— projects and activities started during this provisional appli-
cation and still in progress at the time of the abovemen-
tioned notification shall continue until
their completion
under the conditions laid down in this Agreement.

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 of those texts
being equally authentic.

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Hecho en Bruselas, el dieciséis de enero de dos mil cuatro.

Udfærdiget i Bruxelles den sekstende januar to tusind og fire.

Geschehen zu Brüssel am sechzehnten Januar zweitausendundvier.
Έγινε στις Βρυξέλλες, στις δεκαέξι Ιανουαρίου δύο χιλιάδες τέσσερα.

Done at Brussels on the sixteenth day of January in the year two thousand and four.

Fait à Bruxelles, le seize janvier deux mille quatre.

Fatto a Bruxelles, addì sedici gennaio duemilaquattro.

Gedaan te Brussel, de zestiende januari tweeduizendvier.

Feito em Bruxelas, em dezasseis de Janeiro de dois mil e quatro.

Tehty Brysselissä kuudentenatoista päivänä tammikuuta vuonna kakstituhattaneljä.

Som skedde i Bryssel den sextonde januari tjugohundrafyra.

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

För Europeiska gemenskapen

Por la Comunidad Europea de la Energía Atómica

For Det Europæiske Atomenergifællesskab

Für die Europäische Atomgemeinschaft
Για την Ευρωπαϊκή Κοινότητα Ατοµικής Ενέργειας

For the European Atomic Energy Community

Pour la Communauté européenne de l'énergie atomique

Per la Comunità europea dell'energia atomica

Voor de Europese Gemeenschap voor Atoomenergie

Pela Comunidade Europeia da Energia Atómica

Euroopan atomienergiayhteisön puolesta

För Europeiska atomenergigemenskapen

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Für die Schweizerische Eidgenossenschaft

Pour la Confédération suisse

Per la Confederazione svizzera

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ANNEX A

PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS

I.

SCOPE

For the purposes of this Agreement, ‘intellectual property’ shall have the meaning defined in Article 2 of the Convention
establishing the World Intellectual Property Organisation, signed at Stockholm on 14 July 1967.

For the purposes of this Agreement, ‘knowledge’ means the results, including information, whether or not they can be
protected, as well as copyrights or rights pertaining to such information, following applications for, or the issue of,
patents, designs, plant varieties, supplementary protection certificates or similar forms of protection.

II.

INTELLECTUAL PROPERTY RIGHTS OF THE LEGAL ENTITIES OF THE PARTIES

1. Each Party shall ensure that the intellectual property rights of the legal entities of the other Party participating in the
activities undertaken under this Agreement and the rights and obligations resulting from such participation are
treated in a manner compatible with the relevant international conventions applicable to the Parties, notably the
TRIPS Agreement (Agreement on Trade-Related Aspects of Intellectual Property Rights administered by the World
Trade Organisation), the Berne Convention (Paris Act 1971) and the Paris Convention (Stockholm Act 1967).

2. Legal entities established in Switzerland participating in indirect action under the Sixth EC and Euratom Framework
Programmes shall have intellectual property rights and obligations under the conditions set out in Regulation (EC)
No 2321/2002 of the European Parliament and of the Council, in Council Regulation (Euratom) No 2322/2002 and
in the contract concluded with the European Community, in accordance with point 1.

implemented in
Where Switzerland participates in indirect action under the Sixth EC Framework Programme,
accordance with Article 169 of the Treaty establishing the European Community, Switzerland shall have the same
intellectual property rights and obligations as the Member States participating therein, as set out in the relevant deci-
sion of the European Parliament and of the Council and in the contract concluded with the European Community,
in accordance with point 1.

3. Legal entities established in a European Union Member State participating in Swiss research programmes and/or
projects shall have the same intellectual property rights and obligations as legal entities established in Switzerland
participating in these research programmes or projects, in accordance with point 1.

III. INTELLECTUAL PROPERTY RIGHTS OF THE PARTIES

1. Unless otherwise agreed between the Parties, the following rules shall apply to the knowledge generated by the

Parties in the course of the activities undertaken in accordance with Article 2(4) of this Agreement:

(a) the Party generating the knowledge shall have ownership thereof. Where their respective shares in the work

cannot be determined, the Parties shall co-own the knowledge;

(b) the Party holding ownership shall grant the other Party rights of access to the knowledge with a view to the
activities referred to in Article 2(4) of this Agreement. No charge shall be made for granting rights of access to
the knowledge.

2. Unless otherwise agreed between the Parties, the following rules shall apply to scientific literature from the Parties:

(a) where a Party publishes data, information and technical or scientific results arising from the activities undertaken
under this Agreement in journals, articles, reports and books, including audiovisual works and software, a world-
wide, non-exclusive, irrevocable royalty-free licence to translate, adapt, transmit and publicly distribute the works
in question shall be granted to the other Party;

(b) all copies of copyrighted data and information to be publicly distributed and prepared under this section shall
indicate the names of the author or authors, unless an author expressly declines to be named. Copies shall also
bear a clearly visible acknowledgement of the cooperative support of the Parties.

3. Unless otherwise agreed between the Parties, the following rules shall apply to undisclosed information of the

Parties:

(a) at the time of submission to the other Party of information relating to the activities undertaken under this Agree-

ment, each Party shall identify the information which it wishes to remain undisclosed;

(b) for the specific purposes of application of this Agreement, the receiving Party may, on its own responsibility,

communicate undisclosed information to bodies or persons under its authority;

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(c) with the prior written consent of the Party providing undisclosed information, the receiving Party may dissemi-
nate such information more widely than otherwise permitted by subparagraph (b). The Parties shall cooperate in
developing procedures for requesting and obtaining prior written consent for wider dissemination, and each
Party shall grant such approval to the extent permitted by its domestic policies, regulations and laws;

(d) non-documentary undisclosed or other confidential information provided in seminars or other meetings of the
representatives of the Parties arranged under this Agreement, or information arising from the attachment of
staff, use of facilities or indirect action must remain confidential, where the recipient of such undisclosed or
other confidential or privileged information was made aware of the confidential character of the information
before it was communicated, in accordance with subparagraph (a);

(e) each Party shall ensure that undisclosed information which it acquires in accordance with subparagraphs (a) and
3(d) shall be controlled as provided for in this Agreement. If one of the Parties becomes aware that it will be, or
may be expected to become, unable to meet the non-dissemination provisions of subparagraphs (a) and (d), it
shall immediately inform the other Party. The Parties shall thereafter consult to define an appropriate course of
action.

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ANNEX B

FINANCIAL RULES GOVERNING THE CONTRIBUTION OF SWITZERLAND REFERRED TO IN ARTICLE 5
OF THIS AGREEMENT

I. DETERMINATION OF FINANCIAL PARTICIPATION

1. The Commission shall communicate to Switzerland together with relevant background material as soon as possible

and at the latest on 1 September of each year:

(a) the amounts in commitment appropriations in the statement of expenditure of the preliminary draft budget of

the European Union corresponding to the two Framework Programmes;

(b) the estimated amount of the contributions derived from the preliminary draft budget, corresponding to the parti-

cipation of Switzerland in the two Framework Programmes.

Nonetheless, in order to facilitate internal budgetary procedures, the Commission services shall provide corre-
sponding indicative figures at the latest on 30 May of each year.

2. As soon as the general budget has been finally adopted, the Commission shall communicate to Switzerland the

abovementioned amounts in the statement of expenditure corresponding to the participation of Switzerland.

II. PAYMENT PROCEDURES

1. The Commission shall issue, at the latest on 15 June and 15 November of each financial year, a call for funds to
Switzerland corresponding to its contribution under this Agreement. These calls for funds shall provide respectively
for the payment of:

— six twelfths of Switzerland's contribution not later than 20 July, and

— six twelfths of its contribution not later than 15 December.

However, in the last year of the two Framework Programmes, the full amount of Switzerland's contribution shall be
paid not later than 20 July.

2. The contributions of Switzerland shall be expressed and paid in euros.

3. Switzerland shall pay its contribution under this Agreement according to the schedule in paragraph 1. Any delay in
payment shall give rise to the payment of interest at a rate equal to the one-month inter-bank offered rate
(EURIBOR) as on page 248 of Telerate. This rate shall be increased by 1,5 % for each month of delay. The increased
rate shall be applied to the entire period of delay. However, the interest shall be due only if the contribution is paid
more than 30 days after the scheduled payment dates mentioned in paragraph 1.

2. Travel costs incurred by Swiss representatives and experts for the purposes of taking part in the work of the research
committees and those involved in the implementation of the two Framework Programmes shall be reimbursed by
the Commission on the same basis as, and in accordance with, the procedures currently in force for the representa-
tives and experts of the Member States of the Communities.

III. CONDITIONS FOR IMPLEMENTATION

1. The financial contribution of Switzerland to the two Framework Programmes in accordance with Article 5 of this

Agreement shall normally remain unchanged for the financial year in question.

2. The Commission, at the time of the closure of the accounts relating to each financial year (n), within the framework
of the establishment of the revenue and expenditure account, shall proceed to the regularisation of the accounts
with respect to the participation of Switzerland, taking into consideration modifications which have taken place,
either by transfer, cancellations, carry-overs, or by supplementary and amending budgets during the financial year.
This regularisation shall occur at the time of the first payment for the year n+1. However, the final such regularisa-
tion shall occur not later than July of the fourth year following the end of the two Framework Programmes.

Payment by Switzerland shall be credited to the European Communities' programmes as budget receipts allocated to
the appropriate budget heading in the statement of revenue of the general budget of the European Union.

IV. INFORMATION

1. At the latest on 31 May of each financial year (n + 1), the statement of appropriations for the two Framework
Programmes, related to the previous financial year (n), shall be prepared and transmitted to Switzerland for informa-
tion, according to the format of the Commission's revenue and expenditure account.

2. The Commission shall communicate to Switzerland all other general financial data relating to the implementation of

the two Framework Programmes which is made available to the associated States.

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ANNEX C

FINANCIAL CONTROL OF SWISS PARTICIPANTS IN THE COMMUNITY PROGRAMMES COVERED BY
THIS AGREEMENT

I.

DIRECT COMMUNICATION

The Commission shall communicate directly with the participants in the Sixth EC and Euratom Framework Programmes
established in Switzerland and with their subcontractors. They may submit directly to the Commission all relevant infor-
mation and documentation which they are required to submit on the basis of the instruments referred to in this Agree-
ment and of the contracts concluded to implement them.

II. AUDITS

1.

In accordance with Council Regulation (EC, Euratom) No 1605/2002 (1) of 25 June 2002 and Commission Regu-
lation (EC, Euratom) No 2342/2002 (2) and with the other rules referred to in this Agreement, the contracts
concluded with participants in the programme established in Switzerland may provide for scientific, financial, tech-
nological or other audits to be conducted at any time on the premises of the participants and of their subcontrac-
tors by Commission agents or by other persons mandated by the Commission.

2. Commission agents and other persons mandated by the Commission shall have appropriate access to sites, works
and documents and to all the information required in order to carry out such audits, including in electronic form.
This right of access shall be stated explicitly in the contracts concluded to implement the instruments referred to in
this Agreement.

3.

4.

5.

The European Court of Auditors shall have the same rights as the Commission.

The audits may be conducted after the Sixth EC and Euratom Framework Programmes or this Agreement expire, on
the terms laid down in the contracts in question.

The Swiss Federal Audit Office shall be informed in advance of the audits conducted on Swiss territory. Such notifi-
cation shall not be a legal precondition for carrying out such audits.

III. ON-THE-SPOT CHECKS

1. Within the framework of this Agreement, the Commission (OLAF) shall be authorised to carry out on-the-spot
checks and inspections on Swiss territory, in accordance with the terms and conditions laid down in Council Regu-
lation (Euratom, EC) No 2185/96 (3).

2. On-the-spot checks and inspections shall be prepared and conducted by the Commission in close collaboration
with the Swiss Federal Audit Office or with the other competent Swiss authorities designated by the Swiss Federal
Audit Office, which shall be notified in good time of the object, purpose and legal basis of the checks and inspec-
tions, so that they can provide all the requisite help. To that end, the officials of the competent Swiss authorities
may participate in the on-the-spot checks and inspections.

3.

If the Swiss authorities concerned so wish, the on-the-spot checks and inspections may be carried out jointly by the
Commission and them.

4. Where the participants in the Sixth EC and Euratom Framework Programmes resist an on-the-spot check or inspec-
tion, the Swiss authorities, acting in accordance with national rules, shall give Commission inspectors such assis-
tance as they need to allow them to discharge their duty in carrying out an on-the-spot check or inspection.

5.

The Commission shall report as soon as possible to the Swiss Federal Audit Office any fact or suspicion relating to
an irregularity which has come to its notice in the course of the on-the-spot check or inspection. In any event the
Commission shall be required to inform the abovementioned authority of the result of such checks and inspections.

IV.

INFORMATION AND CONSULTATION

1.

2.

For the purposes of proper implementation of this Annex, the competent Swiss and Community authorities shall
regularly exchange information and, at the request of one of the Parties, shall conduct consultations.

The competent Swiss authorities shall inform the Commission without delay of any fact or suspicion which has
come to their notice relating to an irregularity in connection with the conclusion and implementation of the
contracts concluded in application of the instruments referred to in this Agreement.

(1) OJ L 248, 16.9.2002, p. 1.
(2) OJ L 357, 31.12.2002, p. 1.
(3) OJ L 292, 15.11.1996, p. 2.

5.2.2004

EN

Official Journal of the European Union

L 32/33

V. CONFIDENTIALITY

Information communicated or acquired in any form under this Annex shall be covered by professional secrecy and
protected in the same way as similar information is protected by Swiss law and by the corresponding provisions applic-
able to the Community institutions. Such information may not be communicated to persons other than those within the
Community institutions or in the Member States or Switzerland whose functions require them to know it nor may it be
used for purposes other than to ensure effective protection of the Parties' financial interests.

VI. ADMINISTRATIVE MEASURES AND PENALTIES

Without prejudice to application of Swiss criminal law, administrative measures and penalties may be imposed by the
Commission in accordance with Regulations (EC, Euratom) No 1605/2002 and (EC, Euratom) No 2342/2002 and with
Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities'
financial interests (1).

VII. RECOVERY AND ENFORCEMENT

Decisions taken by the Commission under the Sixth EC Framework Programme within the scope of this Agreement
which impose a pecuniary obligation on persons other than States shall be enforceable in Switzerland. The enforcement
order shall be issued, without any further control than verification of the authenticity of the act, by the authorities desig-
nated by the Swiss government, which shall inform the Commission thereof. Enforcement shall take place in accordance
with the Swiss rules of procedure. The legality of the enforcement decision shall be subject to control by the Court of
Justice of the European Communities.

Judgments given by the Court of Justice of the European Communities pursuant to an arbitration clause in a contract
under the Sixth EC and Euratom Framework Programmes shall be enforceable on the same terms.

(1) OJ L 312, 23.12.1995, p. 1.