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 - Final act - Declarations
Date: 2007-06-25
Institutions: European Atomic Energy Community, European Community, Switzerland
Subjects: EAEC, EU programme, EU research policy, Switzerland, cooperation agreement (EU), scientific cooperation, signature of an agreement, 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 16 January 2004 the Communities and Switzerland signed an Agreement on Scientific and Technological
Cooperation (1), which was provisionally applied since 1 January 2004 and which entered into force on 16 May 2006;

(1) OJ L 32, 5.2.2004, p. 22.

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

WHEREAS the Seventh Framework Programme of the European Community for research, technological development and
demonstration activities (2007 to 2013) (hereinafter referred to as the ‘Seventh EC Framework Programme’) was adopted by
Decision No 1982/2006/EC (1) and Regulation (EC) No 1906/2006 (2) of the European Parliament and of the Council, and
by Council Decisions 2006/971/EC (3), 2006/972/EC (4), 2006/973/EC (5), 2006/974/EC (6) and 2006/975/EC (7) and the
Seventh Framework Programme of the European Atomic Energy Community (Euratom) for nuclear research and training
activities (2007 to 2011), also contributing to the creation of the European Research Area was adopted by Council Decision
2006/970/Euratom (8), Council Regulation (Euratom) No 1908/2006 (9) and Council Decisions 2006/976/Euratom (10) and
2006/977/Euratom (11) (hereinafter referred to as the ‘Seventh EC and Euratom Framework Programmes’);

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 activities
with Switzerland in the fields of science, technology, research and development, and to conclude, where appropriate,
agreements to that end,

HAVE AGREED AS FOLLOWS:

Article 1

Subject matter

1. The form and conditions of Swiss participation in the
implementation of the whole of the Seventh EC and Euratom
Framework Programmes shall be as laid down in this Agreement,
without prejudice to the terms of the Fusion Agreement.

Legal entities established in Switzerland may participate in all the
specific programmes of the Seventh EC and Euratom Framework
Programmes.

Swiss legal entities may participate in the activities of the
the Communities, as far as this

2.
Joint Research Centre of
participation is not covered by paragraph 1.

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

place of establishment or under Community law, having legal
personality and being entitled to have rights and obligations of
any kind in its own name. This shall
inter alia,
universities, research organisations, industrial companies, includ-
ing small and medium-sized enterprises, and individuals.

include,

Article 2

Forms and means of cooperation

Cooperation shall take the following forms:

Participation of legal entities established in Switzerland in
1.
all specific programmes adopted under the Seventh EC and
Euratom Framework Programmes, in accordance with the terms
and conditions laid down in the rules for the participation of
undertakings, research centres and universities both in research,
technological development and demonstration activities of the
European Community and in research and training activities of
the European Atomic Energy Community.

4.
For the purposes of this Agreement ‘legal entity’ means any
natural or any legal person created under the national law at its

In case the Community makes provisions for the implementation
of Articles 169 and 171 of the Treaty establishing the European
Community Switzerland shall be allowed to participate in the

(1) OJ L 412, 30.12.2006, p. 1.
(2) OJ L 391, 30.12.2006, p. 1.
(3) OJ L 400, 30.12.2006, p. 86. Corrected version published in OJ L 54, 22.2.2007, p. 30.
(4) OJ L 400, 30.12.2006, p. 243. Corrected version published in OJ L 54, 22.2.2007, p. 81.
(5) OJ L 400, 30.12.2006, p. 272. Corrected version published in OJ L 54, 22.2.2007, p. 91.
(6) OJ L 400, 30.12.2006, p. 299. Corrected version published in OJ L 54, 22.2.2007, p. 101.
(7) OJ L 400, 30.12.2006, p. 368. Corrected version published in OJ L 54, 22.2.2007, p. 126.
(8) OJ L 400, 30.12.2006, p. 60. Corrected version published in OJ L 54, 22.2.2007, p. 21.
(9) OJ L 400, 30.12.2006, p. 1. Corrected version published in OJ L 54, 22.2.2007, p. 4.
(10) OJ L 400, 30.12.2006, p. 404. Corrected version published in OJ L 54, 22.2.2007, p. 139.
(11) OJ L 400, 30.12.2006, p. 434. Corrected version published in OJ L 54, 22.2.2007, p. 149.

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legal structures created under these provisions subject to the
rules that will be adopted for the establishment of these legal
structures and provided that these rules will become applicable
in Switzerland. The Switzerland/Communities Research Com-
mittee shall decide on the applicability of
these rules in
Switzerland.

Legal entities established in Switzerland shall be eligible for
participation in indirect actions based on Articles 169 and 171
of the Treaty establishing the European Community.

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

3.
Participation of legal entities established in the Commu-
nities in Swiss research programmes and/or projects decided by
the Federal Council on themes equivalent to those of the Seventh
EC and Euratom Framework Programmes, in accordance with
the terms and conditions laid down in the relevant Swiss
regulations and with the agreement of the partners in the specific
project and the management of
the corresponding Swiss
programme. Legal entities established in the Communities
participating in Swiss research programmes and/or projects shall
cover their own costs,
the
project's general management and administrative costs.

including their relative share of

In addition to timely provision of

4.
information and
documentation concerning the implementation of the Seventh
the Swiss
EC and Euratom Framework Programmes and of
programmes and/or projects,
the cooperation between the
Parties may include the following forms and means:

Article 3

Adaptation

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

Article 4

Intellectual property rights and obligations

Subject

1.
legal entities
to Annex A and applicable law,
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
obligations as legal entities established in the Communities. This
provision shall not apply to the results obtained from projects
started before the provisional application of this Agreement.

Subject

2.
legal entities
to Annex A and applicable law,
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
participation, have the same rights and obligations as legal
entities established in Switzerland participating in the pro-
grammes and/or projects in question.

(a)

regular exchanges of views on research policy guide-
lines 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 implementa-
tion of
the research programmes and projects in
Switzerland and in the Communities and on the
results of the work undertaken under this Agreement;

(d)

joint meetings;

(e)

(f)

visits and exchanges of researchers, engineers and
technicians;

regular contacts and follow-up between programme
or project leaders in Switzerland and in the Commu-
nities;

(g)

participation by experts in seminars, symposia and
workshops.

Article 5

Financial provisions

1. Commitments entered into by the Communities under the
Seventh EC and Euratom Framework Programmes prior to the
provisional application 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 Seventh 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 Commission's
financial obligations stemming from work to be carried out in
the forms necessary for the implementation, management and
operation of the programmes and activities covered by this
Agreement.

2. The proportionality factor governing Switzerland's contri-
bution to the Seventh 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. These

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

the time of publication of

3. The rules governing Switzerland's financial contribution are
set out in Annex B.

5. Without prejudice to the provisions of Article 1(3), Arti-
cle 2(3) and Article 4(2) and to existing regulations and rules of
legal entities established in the Communities may
procedure,
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 entities
established in the Communities subject to joint participation by
at least one Swiss entity.

Article 6

Switzerland/Communities Research Committee

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

2. The Committee may identify on request of Switzerland
regions of Switzerland that fulfil the criteria set out in Arti-
cle 5(1) of Council Regulation (EC) No 1083/2006 (1) and may
therefore be eligible regions benefiting from research actions
under the Work Programme ‘Research Potential’ under the
specific ‘Capacities’ programme.

3. The Committee may decide to amend the references to
Community acts in Annex C.

Article 7

Participation

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

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

concluded under

contracts

and/or

the

3.
Legal entities established in Switzerland shall be eligible for
loans the EIB makes in support of research objectives set out
under the Seventh EC Framework Programme.

4. An adequate number of Swiss experts shall be taken into
consideration in the selection of evaluators or referees under the
Communities' research and technological development pro-
grammes
and knowledge
taking into account
appropriate to the tasks assigned to them.

skills

the

(1) OJ L 210, 31.7.2006, p. 25.

Article 8

Mobility

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

Article 9

Revision and future collaboration

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 Switzerland's
cooperation in the fields covered by the Seventh 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 multi-annual Frame-
work Programmes for research and technological development,
this Agreement may be
renegotiated under
conditions 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.

renewed or

Article 10

Relation to other international agreements

1. 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.

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2. A legal entity established in another country associated to
the Seventh EC Framework Programme (Associated Country)
enjoys the same rights and obligations under this Agreement as
legal entities that are established in a Member State provided that
the Associated Country in which the entity is established has
agreed to award legal entities from Switzerland the same rights
and obligations.

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

Article 13

Amendment and termination

1. This Agreement shall apply for the duration of the Seventh
EC and Euratom Framework Programmes.

2. This Agreement may be amended only in writing by
common consent between the Parties. This procedure for entry
into force of the amendments shall be the same as the procedure
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 termination
4.
and/or expiry of
their
completion under the conditions laid down in this Agreement.
The Parties
settle by common consent any other
consequences of termination.

this Agreement shall continue until

shall

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. It shall be provisionally applied
as of 1 January 2007.

Should one of the Parties inform the other that it will not

2.
conclude this Agreement, it is hereby agreed that:

— the Communities

reimburse to Switzerland its
contribution to the general budget of the European Union,
as provided for in Article 2(2),

shall

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

— projects and activities

application and still
abovementioned notification shall continue until
completion under
Agreement.

started during this provisional
the
their
laid down in this

in progress at

the conditions

the time of

This Agreement shall be drawn up in duplicate in the Bulgarian,
Czech, Danish, Dutch, English, Estonian, Finnish, French,
German, Greek, Hungarian, Italian, Latvian, Lithuanian, Maltese,
Polish, Portuguese, Romanian, Slovak, Slovene, Spanish and
Swedish languages, each of those texts being equally authentic.

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Съставено в Люксембург на двадесет и пети юни две хиляди и седма година.

Hecho en Luxemburgo, el veinticinco de junio de dos mil siete.

V Lucemburku dne dvacátého pátého června dva tisíce sedm.

Udfærdiget i Luxembourg den femogtyvende juni to tusind og syv.

Geschehen zu Luxemburg am fünfundzwanzigsten Juni zweitausendsieben.

Kahe tuhande seitsmenda aasta juunikuu kahekümne viiendal päeval Luxembourgis.

Έγινε στο Λουξεμβούργο, στις είκοσι πέντε Ιουνίου δύο χιλιάδες επτά.

Done at Luxembourg, on the twenty-fifth day of June in the year two thousand and seven.

Fait à Luxembourg, le vingt-cinq juin deux mille sept.

Fatto a Lussemburgo, addì venticinque giugno duemilasette.

Luksemburgā, divtūkstoš septītā gada divdesmit piektajā jūnijā.

Priimta du tūkstančiai septintųjų metų birželio dvidešimt penktą dieną Liuksemburge.

Kelt Luxembourgban, a kettőezer-hetedik év június havának huszonötödik napján.

Magħmul fil-Lussemburgu, fil-ħamsa u għoxrin jum ta' Ġunju tas-sena elfejn u sebgħa.

Gedaan te Luxemburg, de vijfentwintigste juni tweeduizend zeven.

Sporządzono w Luksemburgu dnia dwudziestego piątego czerwca roku dwa tysiące siódmego.

Feito no Luxemburgo, em vinte e cinco de Junho de dois mil e sete.

Adoptat la Luxemburg, douăzeci şi cinci iunie două mii șapte.

V Luxemburgu dňa dvadsiateho piateho júna dvetisícsedem.

V Luxembourgu, petindvajsetega junija leta dva tisoč sedem.

Tehty Luxemburgissa kahdentenakymmenentenäviidentenä päivänä kesäkuuta vuonna kaksi-
tuhattaseitsemän.

Som skedde i Luxemburg den tjugofemte juni tjugohundrasju.

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Зa Eвpoпeйcката общност
Por la Comunidad Europea
Za Evropské společenství
For Det Europæiske Fællesskab
Für die Europäische Gemeinschaft
Euroopa Ühenduse nimel
Гια την Ευρωπαїκή Κоινότητα
For the European Community
Pour la Communauté européenne
Per la Comunità europea
Eiropas Kopienas vārdā
Europos bendrĳos vardu
Az Európai Közösség részéről
Għall-Komunità Ewropea
Voor de Europese Gemeenschap
W imieniu Wspólnoty Europejskiej
Pela Comunidade Europeia
Pentru Comunitatea Europeană
Za Európske spoločenstvo
Za Evropsko skupnost
Euroopan yhteisön puolesta
För Europeiska gemenskapen

Зa Eвpoпeйcката общност зa aтoмна енергия
Por la Comunidad Europea de la Energía Atómica
Za Evropské společenství pro atomovou energii
For Det Europæiske Atomenergifælleskab
Für die Europäische Atomgemeinschaft
Euroopa Aatomienergiaühenduse nimel
Гια την Ευρωπαїκή Κоινότητα Ατομικής Εvέργειας
For the European Atomic Energy Community
Pour la Communauté européenne de l'énergie atomique
Per la Comunità europea dell'energia atomica
Eiropas Atomenerġĳas kopienas vārdā
Europos atominés energĳos bendrĳos vardu
Az Európai Atomenergia-közösség részéről
Għall-Komunità Ewropea ta' l-Enerġĳa Atomika
W imieniu Europejskiej Wspólnoty Energii Atomowej
Voor de Europese Gemeenschap voor Atoomenergie
Pela Comunidade Europeia da Energia Atómica
Pentru Comunitatea Europeană a Energiei Atomice
Za Európske spoločenstvo pre atómovú energiu
Za Evropsko skupnost za atomsko energĳo
Euroopan atominienergiayhteisön puolesta
För Europeiska atomenergigemenskapen

Зa Конфедерация Швейцария
Por la confederación Suiza
Za Švýcarskou konfederaci
For Det Schweiziske Forbund
Für die Schweizerische Eidgenossenschaft
Šveitsi Konföderatsiooni nimel
Гια την Ελβετική Συνομοσπονδία
For the Swiss Confederation
Pour la Confédération suisse
Per la Confederazione svizzera
Šveices Konfederācĳas vārdā
Šveicarĳos Konfederacĳos vardu
A Svájci Államszövetség részéről
Għall-Konfederazzjoni Żvizzera
Voor de Zwitserse Bondsstaat
W imieniu Konfederacji Szwajcarskiej
Pela Confederação Suíça
Pentru Confederaţia Elveţiană
Za Švajčiarsku konfederáciu
Za Švicarsko konfederacĳo
Sveitsin valaliiton puolesta
På Schweiziska edsförbundets vågnar

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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.

1.

2.

Intellectual property rights of the legal entities of the Parties

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).

Legal entities established in Switzerland participating in indirect actions under the Seventh 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 (1) modified by Regulation (EC)
No 1906/2006, in Council Regulation (Euratom) No 2322/2002 (2), modified by Council Regulation (Euratom)
No 1908/2006 of 18 December 2006 and in the grant agreement and/or contract concluded with the European
Community, in accordance with point 1. Where Switzerland participates in indirect actions under the Seventh EC
Framework Programme, implemented in accordance with Article 169 and Article 171 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 provisions.

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)

(b)

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;

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)

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

(1) OJ L 355, 30.12.2002, p. 23.
(2) OJ L 355, 30.12.2002, p. 35.

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(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)

(b)

(c)

(d)

(e)

at the time of submission to the other Party of information relating to the activities undertaken under this
Agreement, each Party shall identify the information which it wishes to remain undisclosed;

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;

with the prior written consent of the Party providing undisclosed information, the receiving Party may
disseminate 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;

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 actions 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);

each Party shall ensure that undisclosed information which it acquires in accordance with subparagraphs (a) and
(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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FINANCIAL RULES GOVERNING THE CONTRIBUTION OF SWITZERLAND REFERRED TO IN ARTICLE 5 OF
THIS AGREEMENT

ANNEX B

I.

1.

2.

II.

1.

2.

3.

4.

III.

1.

2.

Determination of financial participation

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)

(b)

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;

the estimated amount of the contributions derived from the preliminary draft budget, corresponding to the
participation of Switzerland in the two Framework Programmes. Nonetheless, in order to facilitate internal
budgetary procedures, the Commission services shall provide corresponding indicative figures at the latest on
31 May of each year.

As soon as the general budget has been finally adopted, the Commission shall communicate to Switzerland the above
mentioned amounts in the statement of expenditure corresponding to the participation of Switzerland.

Payment procedures

issue,

in June and November of each financial year, a call

The Commission shall
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 for each call for funds and not later than 30 days after receipt of
the corresponding call for funds. However, in the last year of the two Framework Programmes, the full amount of
Switzerland's contribution shall be paid not later than 30 days after the receipt of the call for funds.

The contributions of Switzerland shall be expressed and paid in euro.

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 percentage point 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.

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 representatives
and experts of the Member States of the Communities.

Conditions for implementation

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.

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 regularisation 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.

1.

2.

Information

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
information, according to the format of the Commission's revenue and expenditure account.

The Commission shall communicate to Switzerland statistics and all other general financial data relating to the
implementation of the two Framework Programmes which is made available to the Member States.

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Official Journal of the European Union

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

ANNEX C

I.

Direct communication

The Commission shall communicate directly with the participants in the Seventh EC and Euratom Framework Programmes
established in Switzerland and with their subcontractors. They may submit directly to the Commission all relevant
information and documentation which they are required to submit on the basis of the instruments referred to in this
Agreement and of the grant agreements and/or contracts concluded to implement them.

II.

1.

2.

Audits

In accordance with Council Regulation (EC, Euratom) No 1605/2002 (1), amended by Council Regulation (EC,
Euratom) No 1995/2006 (2) and Commission Regulation (EC, Euratom) No 2342/2002 (3) amended by Regulation
(EC Euratom) No 1248/2006 (4) of 7 August 2006 and with the other rules referred to in this Agreement, the grant
agreements and/or contracts concluded with participants in the programme established in Switzerland may provide
for scientific, financial, technological or other audits to be conducted at any time on the premises of the participants
and of their subcontractors by Commission agents or by other persons mandated by the Commission.

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 grant agreements and/or contracts concluded to implement the
instruments referred to in this Agreement.

3.

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

4.

5.

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

The Swiss Federal Audit Office shall be informed in advance of the audits conducted on Swiss territory. Such
notification 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 Regulation
(Euratom, EC) No 2185/96 (5) and Regulation (EC) No 1073/1999 (6) of the European Parliament and the Council.

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 inspections, 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 Seventh EC and Euratom Framework Programmes resist an on-the-spot check or
inspection, the Swiss authorities, acting in accordance with national rules, shall give Commission inspectors such
assistance as they need to allow them to discharge their duty in carrying out an on-the-spot check or inspection.

(1) OJ L 248, 16.9.2002, p. 1.
(2) OJ L 390, 30.12.2006, p. 1.
(3) OJ L 357, 31.12.2002, p. 1.
(4) OJ L 227, 19.8.2006, p. 3.
(5) OJ L 292, 15.11.1996, p. 2.
(6) OJ L 136, 31.5.1999, p. 1.

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L 189/37

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 grant
agreements and/or contracts concluded in application of the instruments referred to in this Agreement.

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 applicable
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, amended by Regulation (EC, Euratom)
No 1995/2006, and (EC, Euratom) No 2342/2002, amended by Regulation (EC, Euratom) No 1248/2006, 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 Seventh 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
inform the Commission thereof. Enforcement shall take place in
designated by the Swiss government, which shall
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 Seventh EC and Euratom Framework Programmes shall be
enforceable on the same terms.

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