Proposal for a Council Decision on the conclusion of the Scientific and Technological Cooperation Agreement between the European Community and the Republic of Korea
Date: 2006-07-27
Institutions: European Commission
Subjects: European Community, South Korea, cooperation agreement, ratification of an agreement, research and development, scientific cooperation, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 27.7.2006 
COM(2006) 422 final 

2006/0141 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the signature of the Scientific and Technological Cooperation Agreement between the 
European Community and the Republic of Korea 

Proposal for a 

COUNCIL DECISION 

on the conclusion of the Scientific and Technological Cooperation Agreement between 
the European Community and the Republic of Korea 

(presented by the Commission) 

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1. 

2. 

3. 

4. 

5. 

EXPLANATORY MEMORANDUM 

The  Community  and  the  Republic  of  Korea  (hereinafter  “Korea”)  have  similar 
research  priorities,  such  as  life  sciences  and  technologies,  information  society 
technologies, 
technologies  and 
sustainable development, renewable energy sources, satellites, Earth observation, etc. 
and both are also members of ITER, the International Thermonuclear Experimental 
Reactor. 

industrial  and  materials 

telecommunications, 

Korea  is  committed  to  strengthening  its  research  base  and  annually  invests  almost 
3% of its GDP in this field.1 Therefore Korea is a very important partner for Europe 
to cooperate with in the area of science and technology. 

Considering  the  importance  of  science  and  technology  for  economic  and  social 
development in Europe and Korea, both parties expressed the desire to upgrade and 
intensify their co-operation in areas of common interest: 

–  In  May  2003,  during  his  meeting  with  Mr.  Busquin  in  Brussels,  the  Korean 
Science  Minister,  Mr.  Park  expressed  Korea’s  wish  to  negotiate  a  scientific  and 
technological cooperation agreement in order to enhance and strengthen scientific 
and technological cooperation.  

–  In October 2003, the Korean Mission to the European Union officially informed 
the Commission services of Korea's desire to open negotiations on a scientific and 
technological cooperation agreement 

–  On  7  March  2005,  the  Council  authorised  the  Commission  to  negotiate  an 
Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community  and  Korea.  The  negotiations  resulted  in  the  attached  agreement 
initialled on 21 December 2005. 

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 
Agreement,  non-discrimination,  the  effective  protection  of  intellectual  property  and 
equitable sharing of intellectual property rights.  

It shall be concluded for an initial period of five years and be tacitly renewed, subject 
to the recommendation of an external independent evaluation carried out during the 
penultimate year of each successive five-year period. 

1 

Korea R&D investment (2002): 2.91% of GDP, 15 billion € 

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6. 

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

–  Approves  on  behalf  of  the  European  Community  the  decision  on  the  signature, 

and after the consultation of the European Parliament, 

–  Approves  the  decision  on  the  conclusion  of  the  Scientific  and  Technological 

Cooperation Agreement between the European Community and Korea. 

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Proposal for a 

COUNCIL DECISION 

on the signature of the Scientific and Technological Cooperation Agreement between the 
European Community and the Republic of Korea 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
170 in conjunction with the first sentence of the first subparagraph of Article 300 (2) thereof, 
Having regard to the proposal from the Commission2, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

By its decision of 7 March 2005 the Council authorised the Commission to negotiate 
with the Republic of Korea an Agreement for scientific and technological cooperation 
between the European Community and Korea.  

On  behalf  of  the  Community,  the  Commission  negotiated  an  Agreement  with  the 
Republic  of  Korea  in  accordance  with  the  directives  in  the  Annex  to  the  Council 
decision  authorising  the  Commission  to  negotiate  a  scientific  and  technological 
cooperation Agreement. 

The negotiations resulted in the attached agreement initialled on 21 December 2005. 

It  is  necessary  to  sign  the  Agreement  negotiated  by  the  Commission  in  view  of  its 
possible conclusion at a later date. 

HAS DECIDED AS FOLLOWS: 

Sole Article 

Subject to its conclusion at a later date, the President of the Council is hereby authorised to 
designate the person or the persons empowered to sign on behalf of the European Community 
the Agreement for scientific and technological cooperation between the European Community 
and Korea. 

The text of the Agreement is annexed to this decision. 

Done at Brussels,  

For the Council 
The President 

2 

OJ C […], […], p. […]. 

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2006/0141 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion of the Scientific and Technological Cooperation Agreement between 
the European Community and the Republic of Korea 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
170 in conjunction with the first sentence of the first subparagraph of Article 300 (2) and the 
first subparagraph of article 300 (3) thereof, 
Having regard to the proposal from the Commission3, 
Having regard to the opinion of the European Parliament4, 

Whereas: 

(1) 

The Agreement was signed on behalf of the Community on …. subject to its possible 
conclusion at a later date, in conformity with Decision …/…/EC of the Council on ….; 

(2) 

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 Korea is hereby approved on behalf of the Community. 

The text of the Agreement is annexed to this decision. 

Article 2 

The President of the Council shall, acting on behalf of the Community, give the notification 
provided for in article 12 (1) of the Agreement. 

Done at Brussels,  

For the Council 
The President 

3 
4 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 

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ANNEX  

Agreement on Scientific & Technological Cooperation between the European 
Community and the Government of the Republic of Korea 

The European Community (hereinafter referred to as the “Community”) and the Government 
of the Republic of Korea (hereinafter referred to as “Korea”), hereinafter jointly referred to as 
“the Parties”; 

CONSIDERING  that  the  Community  and  Korea  are  pursuing  research,  technological 
development and demonstration activities in a number of areas of common interest, and being 
aware  of  the  rapid  expansion  of  scientific  knowledge  and  its  positive  contribution  in 
promoting bilateral and international co-operation; 

WISHING  to  broaden  the  scope  of  scientific  and  technological  cooperation  in  a  number  of 
areas  of  common  interest  through  the  creation  of  a  productive  partnership  for  peaceful 
purposes and mutual benefits;  

NOTING  that  such  cooperation  and  the  application  of  the  results  of  such  cooperation  will 
contribute to the economic and social development of the Parties; and 

DESIRING  to  establish  a  formal  framework  to  implement  the  overall  cooperative  activities 
that will strengthen cooperation in “science and technology” between the Parties; 

HAVE AGREED AS FOLLOWS: 

Article 1 – Purpose and Principles 

1. 

2. 

The  Parties  shall  encourage,  develop  and  facilitate  cooperative  activities  under  this 
Agreement  in  the  areas  of  science  and  technology  for  peaceful  purposes,  in 
accordance with this agreement and the laws and regulations of both Parties. 

The cooperative activities under this Agreement shall be carried out on the basis of 
the following principles: 

(a)  Mutual and equitable contributions and benefits; 

(b)  Mutual  access  of  the  research  and  technological  development  programmes, 

projects and facilities of each Party by visiting researchers of the other Party; 

(c) 

(d) 

(e) 

Timely exchange of information which may concern cooperative activities; 

Promotion  of  a  knowledge-based  society  for  the  benefit  of  an  economic  and 
social development of the Parties; and 

Protection  of  intellectual  property  rights  in  accordance  with  Annex  II  of  this 
Agreement. 

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Article 2 – Definitions 

For the purpose of this Agreement 

1. 

2. 

3. 

4. 

“direct cooperative activities” mean co-operative activities between the Parties; 

“indirect cooperative activities” mean activities between legal entities established in 
Korea  and  the  Community  through  the  participation  of  Korean  legal  entities  in  the 
Community Framework Programme under Article 166 of the Treaty establishing the 
European Community (hereinafter referred to as “the Framework Programme”) and 
the  reciprocal  participation  of  the  legal  entities  established  in  the  Community  in 
Korean research programmes or projects in science and technology fields similar to 
those covered by the Framework Programme; 

“cooperative activities” include both direct and indirect cooperative activities; 

“legal entity” means any natural or legal person created under the national law of its 
place of establishment or under Community law, having legal personality and being 
entitled to the rights and subjected to the obligations of any kind in its own name. 

Article 3 – Cooperative Activities 

1. 

The direct cooperative activities under this Agreement may include: 

(a)  Meetings of various forms, including those of experts, to discuss and exchange 
information  on  scientific  and  technological  topics  of  a  general  or  specific 
nature and to identify research and development projects and programmes that 
may be undertaken on a cooperative basis; 

(b) 

(c) 

(d) 

(e) 

Exchange of information on activities, policies, practices, laws and regulations 
concerning research and development; 

Visits  and  exchanges  of  scientists,  technical  personnel  and  other  experts  on 
general or specific subjects; 

Implementation  of  cooperative  projects  and  programmes  which  may  be 
decided  upon  by  the  Joint  Committee,  referred  to  in  Article  6  in  accordance 
with the respective laws and regulations of the Parties; and 

Other forms of activities in the areas of science and technology, which may be 
decided  upon  by  the  Joint  Committee,  referred  to  in  Article  6  in  accordance 
with the respective laws and regulations of the Parties. 

2. 

For  the  purpose  of  developing  indirect  cooperative  activities,  and  subject  to  the 
Annexes to this agreement, any legal entity established in Korea or the Community 
may participate in research programmes or projects operated by the other Party and 
opened to its legal entities, in accordance with the respective laws and regulations of 
the Parties. 

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1. 

2. 

3. 

1. 

2. 

1. 

2. 

Article 4 – Implementation Procedures 

Implementation  of  arrangements,  which  set  forth  the  details  and  procedures  of 
cooperative activities under this Agreement, may be concluded between the Parties. 

Each  Party  may  delegate  the  implementation  of  scientific  and  technological 
cooperative activities of the Parties to specific institutions for direct implementation 
or support of scientific and technological cooperative activities between the Parties. 

Scientific and technological cooperative activities not based on specific agreements 
that  have  been  encouraged,  developed  and  facilitated  by  the  Parties  and  have  been 
commenced  and  not  completed  by  the  date  of  entry  into  force  of  this  Agreement, 
shall be incorporated under this Agreement as of that date. 

Article 5 – Enhancement of Cooperation 

Each  Party  shall  make  every  effort  to  accord  with  the  legal  entities  carrying  out 
cooperative  activities  under  this  Agreement,  all  potential  facilities  with  a  view  of 
facilitating  the  works  and  visits  of  researchers  participating  in  these  cooperative 
activities  along  with  the  entry  and  exit  from  its  territory  of  materials,  data  and 
equipments intended for use in these cooperative activities. 

With  regard  to  the  cooperative  activities  under  this  Agreement,  the  Parties  may 
allow, if appropriate and for peaceful purposes, the participation of researchers and 
organisations  from  all  sectors  of  the  research  establishment  including  the  private 
sector. 

Article 6 – Joint Committee 

The coordination and facilitation of cooperative activities under this Agreement shall 
be carried out, on behalf of Korea, by the Ministries of Korea responsible for Science 
and  Technology  and,  on  behalf  of  the  Community,  by  the  services  of  the 
Commission  of  the  European  Communities  (Directorate  General  for  Science, 
Research and Development), who shall be acting as executive agents. 

For  the  purpose  of  ensuring  the  effective  implementation  of  this  Agreement,  the 
executive  agents  shall  establish  a  Joint  Committee  on  Scientific  and  Technological 
Cooperation (hereinafter referred to as "the Joint Committee"). The Joint Committee 
shall consist of official representatives of each Party and shall be co-chaired by the 
representatives of both Parties. The Joint Committee shall establish its own rules of 
procedure by mutual consent. 

3. 

The functions of the Joint Committee shall be: 

(1) 

(2) 

Exchanging  views  and  information  on  scientific  and  technological  policy 
issues; 

Reviewing  and  discussing  the  cooperative  activities  and  accomplishments 
under this Agreement; 

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(3)  Making recommendations to the Parties with regard to the implementation of 
this  Agreement,  which  may  include  the  identification  and  proposal  of  the 
cooperative  activities  hereunder  and 
their 
implementation; 

the  encouragement  of 

(4) 

Providing  a  report  to  the  Parties  on  the  status,  the  achievements  and  the 
effectiveness  of  the  cooperative  activities  under  this  Agreement.  This  report 
shall be transmitted to the EU-Korea Joint Committee under the Framework 
Agreement for Trade and Cooperation. 

Decisions of the Joint Committee shall be reached by mutual consent. 

The expenses of participant for the meetings of the Joint Committee, such as travel 
costs  and  accommodation  shall  be  borne  by  the  Parties  to  whom  they  relate.  Any 
other costs associated with these meetings shall be borne by the host Party. 

The  Joint  Committee  shall  meet  alternately  in  Korea  and  the  Community  with  the 
time of the meetings arranged upon mutual agreement, preferably annually. 

Article 7 – Funding 

Implementation of this Agreement shall be subject to the availability of appropriated 
funds and the applicable laws and regulations of each Party. 

The  costs  of  the  cooperative  activities  under  this  Agreement  shall  be  borne  as 
decided upon by mutual consent. 

When  specific  cooperative  schemes  of  one  Party  provide  financial  support  to  the 
participants from the other Party, any grants and financial or other contributions from 
one Party to the participants of the other Party in support of those activities shall be 
granted  tax  and  customs  exemption  in  accordance  with  the  relevant  laws  and 
regulations  in  force  in  the  territories  of  each  Party  at  the  time  such  grants  and 
financial or other contributions are made. 

Article 8 – Information and Intellectual Property Rights 

Scientific  and  technological  information  of  a  non-proprietary  nature  arising  from 
direct  cooperative  activities  may  be  made  available  to  the  public  by  either  Party 
through customary channels and in accordance with its general procedures. 

Intellectual  property  rights  and  other  proprietary  rights  created  or  introduced  in  the 
course  of  the  cooperative  activities  under  this  Agreement  shall  be  treated  in 
accordance with the provisions of Annex II of this Agreement. 

4. 

5. 

6. 

1. 

2. 

3. 

1. 

2. 

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Article 9 – 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 Korea. This shall not prevent the conduct of 
cooperative  activities  in  the  high  seas,  outer  space  or  the  territory  of  third  countries,  in 
accordance with international law. 

Article 10 – Dispute Settlement 

1. 

2. 

The  provisions  of  this  Agreement  shall  not  prejudice  the  rights  and  obligations  of 
existing and/or future agreements on cooperation between the Parties or between the 
Governments of any Member State of the Community and the Government of Korea. 

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

Article 11 – Annexes 

Annexes I (on terms and conditions for participation) and II (on intellectual property rights) 
constitute an integral part of this Agreement. 

1. 

2. 

3. 

4. 

5. 

6. 

Article 12 – Entry into Force and Termination 

This  Agreement  shall  enter  into  force  on  the  date  on  which  the  Parties  exchange 
diplomatic notes informing each other of the completion of their respective internal 
procedures necessary for the entry into force of this Agreement. 

This Agreement shall remain in force for five years and shall continue to be in force 
thereafter unless terminated by either Party. 

At the end of the initial five-year period or at any time later, this Agreement may be 
terminated through written notice, at least six months in advance to the other Party. 

Each  Party  may  evaluate  the  impact  and  activities  of  this  Agreement  every  five 
years. Each Party shall make every effort to facilitate the evaluation conducted by the 
other Party and the Party which conducts the evaluation shall inform the other Party 
of the evaluation results. 

This Agreement may be amended with the mutual consent of the Parties through the 
exchange of diplomatic notes. Amendments shall enter into force following the same 
procedure as mentioned in paragraph 1, except as otherwise agreed by the Parties. 

The  termination  of  this  Agreement  shall  be  without  prejudice  to  the  cooperative 
activities undertaken under this Agreement and not fully executed at the time of the 
termination  of  this  Agreement  or  to  any  specific  rights  and  obligations  that  have 
accrued in compliance with the Annexes to this Agreement. 

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IN  WITNESS  WHEREOF,  the  undersigned,  being  duly  authorised  thereto  by  the  European 
Community  and  the  Government  of  the  Republic  of  Korea  respectively,  have  signed  this 
Agreement. 

DONE  in  duplicate  at………….,  this  ………  day  of  ………..  2005,  in  the  Korean,  Czech, 
Danish,  Dutch,  English,  Estonian,  Finnish,  French,  German,  Greek,  Hungarian,  Italian, 
Latvian,  Lithuanian,  Maltese,  Polish,  Portuguese,  Slovak,  Slovenian,  Spanish  and  Swedish 
languages, each text being equally authentic. 

FOR THE EUROPEAN 
COMMUNITY: 

FOR THE GOVERNMENT OF 
THE REUBLIC OF KOREA: 

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ANNEX I 

Terms and conditions for the participation of legal entities established in the 

European Community and Korea 

Within the framework of this Agreement, in case one Party concludes a contract with a legal 
entity  of  the  other  Party  for  an  indirect  cooperative  activity,  the  other  Party,  upon  request, 
shall  endeavour  to  provide  any  reasonable  and  feasible  assistance  as  may  be  necessary  or 
helpful to the former Party for smooth implementation of such contract. 

1. 

TERMS  AND  CONDITIONS  FOR  THE  PARTICIPATION  OF  LEGAL  ENTITIES 
ESTABLISHED  IN  KOREA  IN  INDIRECT  COOPERATIVE  ACTIVITIES  UNDER  THE 
RESEARCH  FRAMEWORK  PROGRAMME  OF  THE  COMMUNITY  (HEARINAFTER 
REFERRED TO AS “THE FRAMEWORK PROGRAMME”) 

(a)  Legal  entities  established  in  Korea  may  participate  in  indirect  cooperative 
activities  under  the  Framework  Programme  of  the  European  Community  for 
research, technological development and demonstration activities subject to the 
conditions  and  limitations  laid  down  in  the  Regulation  of  the  European 
Parliament  and  the  Council  concerning  the  rules  for  participation  of 
undertakings,  research  centres  and  universities  and  for  the  dissemination  of 
research  results  for  the  implementation  of  the  framework  programme  of  the 
European Community.  

(b)  Without  prejudice  to  paragraph  (a),  the  participation  of  legal  entities 
established  in  Korea  for  indirect  cooperative  activities  under  the  Framework 
Programmes shall be in accordance with the Rules. 

2. 

TERMS  AND  CONDITIONS  FOR  THE  PARTICIPATION  OF  LEGAL  ENTITIES 
IN  KOREA’S  RESEARCH 
ESTABLISHED 
PROGRAMMES AND PROJECTS 

IN  THE  EUROPEAN  COMMUNITY 

(a)  Legal entities established in the Community may participate in the research and 
development projects or programmes funded by the Korean Government. 

(b)  Legal  entities  established  in  the  Community  shall  participate  in  Korea’s 
research  and  development  projects  or  programmes  in  accordance  with  the 
relevant laws and regulations of Korea and the relevant rules of participation in 
such projects or programmes. 

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ANNEX II 

Principles concerning the allocation of intellectual property rights 

1. 

DEFINITION 

For  the  purpose  of  this  Agreement,  “intellectual  property”  shall  have  the  meaning  given  in 
Article 2 of the Convention establishing the World Intellectual Property Organisation, done at 
Stockholm on 14 July 1967. 

2. 

(a) 

INTELLECTUAL  PROPERTY  RIGHTS  OF  THE  PARTIES  IN  DIRECT  COOPERATIVE 
ACTIVITIES  

Except if otherwise specifically agreed by the Parties, the following rules shall apply 
to intellectual property rights, except copyrights and related rights, generated by the 
Parties in the course of direct cooperative activities carried out under Article 3.1 of 
this Agreement: 

1) 

2) 

The Party generating intellectual property shall have full ownership. In case the 
intellectual property has been jointly generated and the respective share of the 
work  by  the  two  Parties  cannot  be  ascertained,  the  Parties  shall  have  joint 
ownership of the intellectual property; 

The Party owning the intellectual property shall grant the other Party the access 
rights to carry out any direct cooperative activities. Such access rights shall be 
granted on a royalty-free basis. 

(b) 

Except if otherwise specifically agreed by the Parties, the following rules shall apply 
to copyrights and related rights of the Parties  

1)  When a Party publishes scientific and technical data, information or results by 
means  of  journals,  articles,  reports,  books  or  in  other  forms,  including  video 
tapes and software, arising from and relating to cooperative activities under this 
Agreement, the Party shall make utmost efforts to obtain, for the other Party, 
non-exclusive,  irrevocable,  royalty-free  licences  in  all  countries  where 
copyright  protection  is  available,  in  order  to  translate,  reproduce,  adapt, 
transmit and publicly distribute such works; 

2)  All  publicly  distributed  copies  of  a copyrighted  work  under  the  provisions  of 
paragraph (b)-1) shall indicate the name(s) of the author(s) of the work unless 
the author(s) explicitly declines to be named. They shall also display a clearly 
visible acknowledgement of the cooperative support of the Parties. 

(c) 

Except if otherwise specifically agreed by the Parties, the following rules shall apply 
to the undisclosed information of the Parties: 

1)  When communicating to the other Party on the information necessary to carry 
out  direct  cooperative  activities,  each  Party  shall  identify  the  information 
which it wishes to remain undisclosed; 

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2) 

The  Party  receiving  the  information  may,  under  its  own  responsibility, 
communicate  undisclosed  information  to  its  agencies  or  persons  employed 
through  these  agencies  for  the  specific  purposes  of  implementing  this 
Agreement.  

3)  With  the  prior  written  consent  of  the  Party  providing  the  undisclosed 
information,  the  other  Party  may  disseminate  such  undisclosed  information 
more  widely  than  otherwise  permitted  in  paragraph  (c)-2).  The  Parties  shall 
cooperate with each other in developing procedures to request and obtain prior 
written consent for such wider dissemination, and each Party shall grant such 
approval to the extent permitted by its laws and regulations; 

4) 

5) 

Information  arising  from  seminars,  meetings,  assignments  of  staff  and  of  the 
use of facilities arranged under this Agreement shall remain confidential when 
the  recipient  of  such  information  is  requested  by  its  provider  to  protect  its 
confidential  or  privileged  character  at  the  time  such  communication  is  made, 
according to paragraph (c)-1); 

If one Party becomes aware that it will be, or may be reasonably expected to 
become,  unable  to  meet  the  restrictions  and  conditions  of  dissemination  of 
Article  2.(c),  it  shall  immediately  inform  the  other  Party.  The  Parties  shall 
thereafter consult to define an appropriate course of action. 

3. 

(a) 

(b) 

INTELLECTUAL  PROPERTY  RIGHTS  OF  LEGAL  ENTITIES  OF  THE  PARTIES  IN 
INDIRECT COOPERATIVE ACTIVITIES 

Each  Party  shall  ensure  that  the  intellectual  property  rights  of  legal  entities  of  one 
Party,  participating  in  the  research  and  development  programmes  operated  by  the 
other  Party,  and  the  related  rights  and  obligations  arising  from  such  participation, 
shall  be  consistent  with  the  relevant  laws  and  regulations  and  international 
conventions,  including  the  Agreement  on  Trade-Related  Aspects  of  Intellectual 
Property  Rights,  Annex  1C  of  the  Marrakech  Agreement  Establishing  the  World 
Trade  Organisation  as  well  as  the  Paris  Act  of  24th  July  1971  of  the  Berne 
Convention for the Protection of Literary and Artistic Works and the Stockholm Act 
of 14th July 1967 of the Paris Convention for the Protection of Industrial Property. 

Each  Party  shall  ensure  that,  under  its  applicable  laws  and  regulations,  the  legal 
entities  of  one  Party,  participating  in  the  research  and  development  programmes 
operated by the other Party, shall have the same rights and obligations with regard to 
intellectual property as possessed by the legal entities of the other Party, in the same 
indirect cooperative activity. 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL 

Draft Commission Decision on the approval and signature of the Scientific and Technological 
Cooperation Agreement between the European Community and the Republic of Korea. 

2. 

ABM / ABB FRAMEWORK 

Policy strategy and coordination of in particular the Directorates-General RTD, JRC, ENTR, 
INFSO, and TREN. 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B.A lines)) including headings:  

Costs  in  connection  with  the  implementation  of  the  Agreement  (workshops,  seminars, 
meetings), will be charged to the administrative budget lines for the specific programmes of 
the Framework Programme of the European Community (XX.01.05.03). 

3.2. 

Duration of the action and of the financial impact: 

From  the  date  on  which  the  Parties  exchange  diplomatic  notes  informing  each  other  of  the 
completion  of  their  respective  internal  procedures  necessary  for  the  entry  into  force  of  the 
Agreement, for an initial duration of five years and will be tacitly renewed, as laid down in 
Article 12 of the Agreement. 

3.3. 

Budgetary characteristics (add rows if necessary): 

Budget 
line 

Expenditure type 

New 

EFTA 
contribution 

Contributions 
from  applicant 
countries 

in 

Heading 
financial 
perspective 

xx01.05.03 

Non-
comp 

Non-
diff5 

NO 

NO 

YES 

No 3 

5 

Non-differentiated appropriations. 

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4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

Expenditure type 

Section 
no. 

Operational expenditure6 

EUR million (to 3 decimal places) 

2006 

2007 

2008 

2009 

2010 

. 

Total 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

0 

0 

Administrative expenditure within reference amount7 

0 

0 

Technical 
& 
administrative  assistance 
(NDA) 

8.2.4 

c 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT 

Commitment 
Appropriations 

Payment 
Appropriations 

a+c 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

b+c 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

Administrative expenditure not included in reference amount8 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
associated 
not 
included in reference amount 
(NDA) 

costs, 

8.2.5 

d 

0 

8.2.6 

e 

0 

0 

0 

6 
7 
8 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within Article xx 01 05 of Title xx. 
Expenditure within Chapter xx 01 other than Articles xx 01 04 or xx 01 05. 

EN 

16 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
  
  
  
  
  
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Total indicative financial cost of intervention 

TOTAL  CA 
cost 
of 
Resources 

including 
Human 

TOTAL  PA 
cost 
of 
Resources 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

Co-financing details 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please  specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below 
(additional  lines  may  be  added  if  different  bodies  are  foreseen  for  the  provision  of  the  co-
financing): 

EUR million (to 3 decimal places) 

Co-financing body 

…………………… 

f 

TOTAL  CA  including 
co-financing 

a+c+d
+e+f 

Year 

n + 1 

n + 2 

n + 3 

n + 4 

n+5 
and 
later 

Total 

4.1.2.  Compatibility with Financial Programming 

x 

Proposal is compatible with existing financial programming. 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 

(cid:133) 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 

(cid:133) 
Agreement9 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

x 

Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Note: All details and observations relating to the method of calculating the effect 
on revenue should be shown in a separate annex. 

9 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

17 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Budget line  Revenue 

EUR million (to one decimal place) 

Prior  to 
action 
[Year  n-
1] 

Situation following action 

2006 [n+1] [n+2] [n+3

[n+4]  [n+5]

] 

10 

a) Revenue in absolute terms 0 

603.1 

b) Change in revenue 

 Δ 

(Please specify each revenue budget line involved, adding the appropriate number 
of rows to the table if there is an effect on more than one budget line.) 

4.2. 

Human Resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual requirements 

2006 

Total 
number 
human resources 

of 

5. 

CHARACTERISTICS AND OBJECTIVES 

Details  of  the  context  of  the  proposal  are  required  in  the  Explanatory  Memorandum. 
This section of the Legislative Financial Statement should include the following specific 
complementary information: 

5.1. 

Need to be met in the short or long term: 

This  decision  will  allow  both  Parties  to  upgrade  and  intensify  their  cooperation  in  areas  of 
common scientific and technological interest.  

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy: 

The  Agreement  is  based  on  the  principles  of  mutual  benefit,  reciprocal  opportunities  for 
access to each other’s programmes and activities relevant for the purpose of the Agreement, 
non-discrimination,  the  effective  protection  of  intellectual  property  and  equitable  sharing  of 
intellectual  property  rights.  The  proposal  is  also  in  line  with  the  administrative  expenditure 
borne  by  the  Community  which  provides  for  missions  by  EU  experts  and  officials,  and  for 
workshops, seminars and meetings to be organised in the European Community and in Korea. 

10 

Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

EN 

18 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

This decision should allow both Korea and the European Community to derive mutual benefit 
from  the  scientific  and  technical  progress  achieved  through  their  specific  research 
programmes. It will allow an exchange of specific knowledge and a transfer of know-how to 
the benefit of the scientific Community, industry and citizens. 

5.4.  Method of Implementation (indicative) 

Show below the method(s)11 chosen for the implementation of the action. 

X Centralised Management 

X 

(cid:133) 

Directly by the Commission 

Indirectly by delegation to: 

(cid:133) 

(cid:133) 

Regulation 

Executive Agencies 

Bodies set  up by the  Communities as referred to in Art. 185 of the Financial 

(cid:133) 

National public-sector bodies/bodies with public-service mission.  

(cid:133) Shared or decentralised management 

(cid:133)  With Member States 

(cid:133)  With third countries 

(cid:133) Joint management with international organisations (please specify) 

Relevant comments: 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The  Commission  departments  will  regularly  evaluate  all  the  actions  carried  out  under  the 
cooperation  agreement,  which  will  also  be  subject  to  a  joint  regular  evaluation  by  the 
Community and Korea. This evaluation will cover: 

(a) Performance indicators 

- number of missions and meetings; 

- number of different fields of cooperation activities.  

11 

If  more  than  one  method  is  indicated  please  provide  additional  details  in  the  "Relevant  comments" 
section of this point. 

EN 

19 

   EN 

 
 
 
 
                                                 
(b) Gathering of information: 

Based  on  information  from  the  specific  programmes  of  the  Framework  Programme  and 
information provided by Korea to the Joint Committee provided for by the Agreement. 

(c) Overall evaluation: 

The Commission will evaluate the actions covered by this participation before the end of the 
initial five years of implementation. 

6.2. 

Evaluation  

The Commission will evaluate the actions covered by this cooperation agreement at the end of 
the initial five years of implementation. 

6.3. 

Terms and frequency of future evaluation 

The parties to the Agreement will evaluate the application thereof annually in the meetings of 
the Joint Research Committee referred to in Article 6 thereof. Renewal of this Agreement will 
be  submitted  for  assessment  by  each  of  the  Parties,  which  will  include  an  impact  study 
entrusted to independent experts.  

7. 

ANTI-FRAUD MEASURES 

When  the  implementation  of  the  Framework  Programme  calls  for  the  use  of  external 
contractors  or  entails  granting  financial  contributions  to  third  parties,  the  Commission  will 
carry out financial audits, where appropriate, in particular if it has reason to doubt the realistic 
nature of work performed or described in the activity reports. 

The Community’s financial audits will be carried out either by its own staff or by accounting 
experts approved according to the law of the audited party. The Community will choose the 
latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by 
the party subject to the audit. 

In  addition,  the  Commission  will  make  sure,  in  carrying  out  the  research  activities,  that  the 
financial interests of the European Communities are protected by effective checks and, where 
irregularities are detected, by deterrent and proportionate measures and penalties. 

In  order  to  achieve  this  aim,  rules  on  checks,  measures  and  penalties,  with  reference  to 
Regulations Nos 2988/95, 2185/96 and 1073/99, will be incorporated in all contracts used in 
the implementation of the Framework Programme.   

In particular, the following points will have to be provided for in the contracts: 

the introduction of specific contractual clauses to protect the financial interests of the EC in 
carrying out checks and controls in relation to the work performed;  

the participation of administrative inspectors in the field of fraud-fighting, in accordance with 
Regulations Nos 2185/96 and 1073/99; 

EN 

20 

   EN 

 
 
the application of administrative penalties for all intentional or negligent irregularities in the 
implementation  of  the  contracts,  in  accordance  with  Framework  Regulation  No 2988/95, 
including a black-listing mechanism;  

the  fact  that  possible  recovery  orders  in  case  of  irregularities  and  fraud  be  enforceable 
according to Article 256 of the EC Treaty. 

In  addition  and  as  routine  measures,  a  control  programme  in  respect  of  scientific  and 
budgetary aspects will be carried out by the DG Research staff responsible. Local inspections 
will be carried out by the European Court of Auditors. 

EN 

21 

   EN 

 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost: 

NA 

(Headings  of  Objectives,  actions  and 
outputs should be provided) 

Type 
of 
output

Av. 
cost

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and later 

TOTAL 

No. 
outputs

Total 
cost 

No. 
outputs

Total 
cost 

No. 
outputs

Total 
cost 

No. 
outputs

Total 
cost 

No. 
outputs

Total 
cost 

No. 
outputs

Total cost  No. 

outputs

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL OBJECTIVE No.112 

Action1…………. 

Output 1 

Output 2 

Action 2…………. 

Output 1 

Sub-total 
Objective 1 

OPERATIONAL OBJECTIVE No.2 12 

Action 1…………. 

Output 1 

Sub-total 
Objective 2 

OPERATIONAL OBJECTIVE No. n12 

Sub-total 
Objective n 

TOTAL COST 

12 

As described under Section 5.3. 

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22 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2. 

Administrative Expenditure 

8.2.1.  Number and type of human resources 

Types of post 

Staff  to  be  assigned  to  management  of  the  action  using  existing  and/or  additional 
resources (number of posts/FTEs) 

2006 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

or 

Officials 
temporary 
staff13  (XX  01 
01) 

A*/
AD 

B*, 
C*/
AST 

Staff financed14 by Art. 
XX 01 02 

Other  staff  financed15 
by Art. XX 01 04/05 

TOTAL 

0 

0 

0 

0 

8.2.2.  Description of tasks deriving from the action 

Management of the Agreement will entail missions and attending meetings by EU and Korean 
experts and officials. 

8.2.3. 

Sources of human resources (statutory) 

(When more than one source is stated, please indicate the number of posts originating from 
each of the sources) 

X 

Posts  currently  allocated  to  the  management  of  the  programme  to  be  replaced  or 
extended 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

(cid:133) 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 

(cid:133) 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 

(cid:133) 
year in question 

13 
14 
15 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

EN 

23 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4.  Other 

administrative 

expenditure 

included 

(XX 01 04/05 – Expenditure on administrative management) 

in 

reference 

amount 

EUR million (to 3 decimal places) 

2006 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 

TOTAL 

and later 

Budget line 

(number and heading) 

Technical 

1. 
and 
administrative 
assistance 
(including related staff costs) 

 Executive agencies16 

Other 
administrative assistance 

technical 

- intra muros 

- extra muros 

Total 
administrative assistance 

Technical 

and 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

and 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

Type of human resources 

2006 

Year 
n+1 

Year 
n+2 

Year n+3  Year n+4  Year n+5 
and later 

EUR million (to 3 decimal places) 

Officials 
(XX 01 01) 

and 

temporary 

staff 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources and 
associated  costs  (NOT  in  reference 
amount) 

Calculation– Officials and Temporary agents 
Reference should be made to Point 8.2.1, if applicable 

16 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

24 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Staff financed under Art. XX 01 02NA 
Reference should be made to Point 8.2.1, if applicable 

8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

2006 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5 

TOTAL 

and 
later 

XX 01 02 11 01 – Missions 

0.010 

0.010 

0.010 

0.010 

0.010 

XX 01 02 11 02 – Meetings & Conferences 

0.005 

0.005 

0.005 

0.005 

0.005 

0.050 

0.025 

XX 01 02 11 03 – Committees17 

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2. Total Other Management Expenditure 
(XX 01 02 11) 

3. Other expenditure of an administrative 
nature  (specify 
to 
budget line) 

including  reference 

Total  Administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 

(NOT 

in 

0.015 

0.015 

0.015 

0.015 

0.015 

0.075 

Calculation - Other administrative expenditure not included in reference amount 

17 

Specify the type of committee and the group to which it belongs. 

EN 

25 

   EN