Proposal for a Council Decision concerning the conclusion of an Agreement renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the Republic of India
Date: 2007-10-09
Institutions: European Commission
Subjects: India, cooperation agreement, ratification of an agreement, scientific cooperation, technical cooperation

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 9.10.2007 
COM(2007) 576 final 

2007/0207(CNS) 

Proposal for a 

COUNCIL DECISION 

concerning the conclusion of an Agreement renewing the Agreement for scientific and 
technological cooperation between the European Community and the Government of 
the Republic of India  

(presented by the Commission) 

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1. 

2. 

3. 

4. 

EXPLANATORY MEMORANDUM 

The  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community and the Government of the Republic of India was signed in New Delhi 
on 23 November 2001 and entered into force on 14 October 2002. Article 11(b) of 
the Agreement provides as follows: "This Agreement shall be concluded for an initial 
period of five years and may be renewed by mutual agreement between the Parties 
after evaluation during the last year of each successive period". 

At  the  EC-India  S&T  Steering  Committee  meeting  of  15  and  16  November  2006, 
both Parties expressed their interest in renewing the Agreement. For the Community 
this  intention  to  renew  is  in  line  with  the  positive  impact  assessment  of  the 
Agreement  which  was  carried  out  by  an  independent  expert  in  October  2006,  in 
which one of the key recommendations was to renew the Agreement. 

Rapid  renewal  for  five  more  years  would  be  in the interest of both Parties so as to 
maintain  continuity  in  the  scientific  and  technological  relations  between  India  and 
the  European  Community.  This  was  confirmed  in  the  conclusions  of  the  last  EU-
India Summit held in Helsinki in October 2006.  

Since the material content of the renewed Agreement will be identical to the material 
content of the current Agreement, which expires on 14 October 2007, following the 
normal  procedures  for  negotiating  this  renewal  (Article  300(1)  of  the  EC  Treaty) 
would serve no useful purpose. Given the resulting advantages,  for  both Parties, of 
rapid renewal, a one-step procedure is suggested (a single procedure and a single act 
concerning signature and conclusion). 

5. 

In the light of the above considerations, the Commission requests the Council: 

– 

– 

to  approve,  on  behalf  of  the  Community,  after  consulting  the  European 
Parliament, the conclusion of an Agreement aimed at renewing the Agreement 
for scientific and technological cooperation between the European Community 
and the Government of the Republic of India; 

to authorise the President of the Council to designate the person empowered to 
sign  the  Agreement  in  order  to  express  the  consent  of  the  Community  to  be 
bound thereby. 

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2007/0207 (CNS) 

Proposal for a 

COUNCIL DECISION 

concerning the conclusion of an Agreement renewing the Agreement for scientific and 
technological cooperation between the European Community and the Government of 
the Republic of India  

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular  the 
second  paragraph  of  Article  170,  in  conjunction  with  the  first  sentence  of  the  first 
subparagraph of Article 300(2), and the first subparagraph of Article 300(3), 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Parliament2, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

By  its  Decision  of  25  June,  20023,  the  Council  approved  the  conclusion  of  the 
Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community and the Government of the Republic of India. 

Article  11(b)  of  the  Agreement  provides  as  follows:  'This  Agreement  shall  be 
concluded for an initial period of five years and may be renewed by mutual agreement 
between the Parties after evaluation during the last year of each successive period.'. 

At  the  EC-India  S&T  Steering  Committee  meeting  held  in  Brussels  on  15  and  16 
November  2006,  both  Parties  expressed  their  agreement  for  the  renewal  of  the 
abovementioned  Agreement  for  five  more  years.  The  Parties  to  the  Agreement 
consider that rapid renewal of this Agreement would be in their mutual interest.  

The  material  content  of  the  renewed  Agreement  will  be  identical  to  the  material 
content of the Agreement which expires on 14 October, 2007. 

The  Agreement  aimed  at  renewing  the  Agreement  for  scientific  and  technological 
cooperation between the European Community and the Government of the Republic of 
India should be approved on behalf of the Community, 

1 
2 
3 

OJ C […], […], p. […] 
OJ C […], […], p. […] 
OJ L213,p.29 of 9/08/2002 

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HAS DECIDED AS FOLLOWS:  

Article 1 

The Agreement aimed at renewing the Agreement for scientific and technological cooperation 
between  the  European  Community  and  the  Government  of  the  Republic  of  India  for  an 
additional period of five years is hereby approved on behalf of the Community. 

The text of the Agreement is attached to this Decision. 

The President of the Council is hereby authorised to designate the person empowered to sign 
the Agreement in order to express the consent of the Community to be bound thereby. 

Article 2 

Article 3 

The decision shall be published in the Official Journal. 

Done at Brussels,  

For the Council 
The President 

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ANNEX  

AGREEMENT 

Renewing the Agreement for scientific and technological cooperation between the 
European Community and the Government of the Republic of India 

THE EUROPEAN COMMUNITY, hereinafter referred to as ‘the Community’, 

of the one part, and 

THE GOVERNMENT OF THE REPUBLIC OF INDIA, hereinafter referred to as ‘India’, 

of the other part, 

hereinafter referred to as the ‘Parties’, 

CONSIDERING  the  importance  of  science  and  technology  for  their  economic  and  social 
development, 

RECOGNISING  that  the  Community  and  India  are  pursuing  common  research  and 
technological  objectives  in  a  number  of  areas  of  common  interest,  and  that  mutual  benefits 
may be derived if the Parties facilitate cooperation, 

NOTING  that  there  has  been  active  cooperation  and  information  exchange  in  a  number  of 
scientific and technological areas under the Cooperation Agreement between the Community 
and India on Partnership and Development signed on 20 December 1993, 

CONSIDERING  the  EU-India  Summit  conclusions  in  Helsinki  in  October  2006,  stating:  "The 
leaders look forward to the renewal of the EU-India S&T agreement in 2007",  

DESIRING to expand the cooperation in scientific and technological research with a view to 
strengthening  the  conduct  of  cooperative  activities  in  areas  of  common  interest  and  to 
encouraging  the  application  of  the  results  of  such  cooperation  to  their  economic  and  social 
benefit, 

HAVE AGREED AS FOLLOWS: 

Article 1 

Purpose 

The Parties shall encourage and facilitate cooperative research and development activities in 
science and technology fields of common interest between the Community and India. 

Article 2 

Definitions 

For the purpose of this Agreement: 

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(a) 

(b) 

(c) 

(d) 

(e) 

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

'information’  means  scientific  or  technical  data,  results  or  methods  of  research  and 
development stemming from joint research carried out under this Agreement and any 
other data deemed necessary by the participants to cooperative activities, including, 
as necessary, by the Parties themselves; 

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

‘joint  research’  means  a  research,  technological  development  or  demonstration 
project that is implemented with financial support from one or both Parties and that 
involves collaboration between participants from both the Community and India and 
is  designated  as  joint  research  in  writing  by  the  Parties  or  the  Executive  Agents. 
Where there is funding by only one Party, the designation shall be made by that Party 
and the participant in that project; 

‘participant’  or  ‘research  entities’  means  any  person,  any  academic  institution, 
research institute or any other legal entity or undertaking or firm established in the 
Community  or  in  India  involved  in  cooperative  activities  including  the  Parties 
themselves. 

Article 3 

Principles 

Cooperation shall be conducted on the basis of the following principles: 

(a) 

(b) 

(c) 

(d) 

Partnership for balanced mutual benefits  

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

timely exchange of information which may affect cooperative activities; 

appropriate protection of intellectual property rights. 

Article 4 

Scope of cooperation 

Cooperation  under  this  Agreement  may  cover  all  the  activities  of  research,  technological 
development and demonstration, hereinafter referred to as ‘RTD’, included in the framework 
programme  under  Article  164  of  the  Treaty  establishing  the  European  Community  and  all 
similar RTD activities in India in the corresponding scientific and technological fields. 

This Agreement does not affect the participation of India in other Community activities. 

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Article 5 

Forms of cooperation 

Cooperative activities may take the following forms: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

(a) 

(b) 

participation  of  Indian  research  entities  in  RTD  projects  under  the  framework 
programme  and  reciprocal  participation  of  research  entities  established  in  the 
Community in Indian projects in similar sectors of RTD. Such participation is subject 
to the rules and procedures applicable in each Party, 

joint  RTD  Projects;  the  joint  RTD  projects  shall  be  implemented  when  the 
(concerning 
participants  have  developed  a 
dissemination and use of, as well as access rights to knowledge), as indicated in the 
Annex, 

technology  management  plan 

pooling of RTD projects already implemented according to the procedures applicable 
in the RTD programmes of each Party, 

visits and exchanges of scientists and technical experts, 

joint  organisation  of  scientific  seminars,  conferences,  symposia  and  workshops,  as 
well as participation of experts in those activities, 

concerted actions for dissemination of results/exchange of experience on joint RTD 
projects that have been funded, 

exchanges and sharing of equipment and materials including shared use of advanced 
research facilities, 

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

any other form recommended by the Steering Committee and deemed in conformity 
with the policies and procedures applicable in both Parties. 

Article 6 

Coordination and facilitation of cooperative activities 

The coordination and facilitation of cooperative activities under this Agreement shall 
be  accomplished,  on  behalf  of  India,  by  the  Ministry  of  Science  and  Technology 
(Department of Science and Technology) and,  on  behalf  of  the  Community,  by  the 
services  of  the  Commission  of  the  European  Communities,  acting  as  executive 
agents.  

The  executive  agents  shall  establish  a  Steering  Committee  on  S&T  Cooperation, 
hereinafter  referred  to  as  the  ‘Steering  Committee’  for  the  management  of  this 
Agreement; 
this  Committee  shall  consist  of  an  equal  number  of  official 
representatives  of  each  Party  and  shall  have  Co-Chairpersons  from  the  Parties;  it 
shall establish its own rules of procedure. 

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(c) 

The functions of the Steering Committee shall include: 

(i) 

(ii) 

promoting  and  overseeing  the  different  cooperative  activities  as  mentioned  in 
Article 4 as well as those that would be implemented in the framework of other 
Community  activities  not  covered  by  the  framework  programme,  but  which 
could affect and enhance the cooperation under this agreement; 

facilitating the development of joint RTD projects, to be sponsored on a cost-
sharing basis by the Parties, received in response to an approved Joint Call for 
Proposal  text  issued  simultaneously  by  the  Executive  Agents.  The  joint 
projects  will  be  selected  by  each  Party  according  to  the  respective  selection 
process of each Party with possible participation of the experts from both sides;  

(iii) 

indicating,  for  the  following  year,  pursuant  to  the  first  and  second  indents  of 
Article  5,  among  the  potential  sectors  for  RTD  cooperation,  those  priority 
sectors or subsectors of mutual interest in which cooperation is sought; 

(iv)  proposing, pursuant to the third indent of Article 5, to the participants of both 
Parties  the  pooling  of  their  projects  which  would  be  of  mutual  benefit  and 
complementary; 

(v)  making recommendations pursuant to the fourth to eighth indents of Article 5; 

(vi)  advising  the  Parties  on  ways  to  enhance  and  improve  cooperation  consistent 

with the principles set out in this Agreement; 

(vii)  reviewing  the  efficient  functioning  and  implementation  of  this  Agreement, 

including the activities there under; 

(viii)  annually providing a report to the Parties on the status, the level reached and 
the effectiveness of cooperation undertaken under this Agreement. This report 
will be transmitted to the Joint Commission established in the framework of the 
Cooperation  Agreement  between  the  European  Community  and  India  on 
Partnership and Development. 

The Steering Committee shall, as a general rule, meet annually, preferably before the 
meeting  of  the  Joint  Commission  established  in  the  framework  of  the  Cooperation 
Agreement  between  the  European  Community  and  India  on  Partnership  and 
Development,  and  according  to  a  jointly  agreed  schedule;  the  meetings  should  be 
held  alternatively  in  the  Community  and  in  India.  Extraordinary  meetings  may  be 
organised at the request of either Party. 

Decisions  of  the  Steering  Committee  shall  be  reached  by  consensus.  Minutes, 
comprising of a record of decisions and principal points discussed, shall be taken at 
each  meeting.  These  minutes  shall  be  agreed  upon  by  the  designated  Co-
Chairpersons of the Steering Committee. 

For the Steering Committee Meeting, the travel and accommodation expenses of the 
participants  shall  be  borne  by  the  Parties  to  whom  they  relate.  Any  other  cost 
associated with the Steering Committee Meeting shall be borne by the host Party. 

(d) 

(e) 

(f) 

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Article 7 

Funding 

(a) 

(b) 

(c) 

(d) 

Cooperative activities shall be subject to the availability of appropriate funds and to 
the laws and regulations (including those on tax and customs exemption) applicable 
in  the  territories  of  each  Party  and  in  accordance  with  policies  and  programmes  of 
the Parties. 

Costs  incurred  on  selected  cooperative  activities  shall  be  shared  by  the  participants 
without any transfer of funds from one Party to the other. 

An  implementing  arrangement  would  specify  in  greater  details  the  precise 
administrative and financial modalities for cooperative activities  

RTD projects, involving India, sponsored under Community activities not covered by 
the framework programme shall be excluded from the provisions specified under (b) 
and (c). 

Article 8  

Entry of personnel and equipment 

Each  Party  shall  take  all  reasonable  steps  and  use  its  best  efforts,  within  the  laws  and 
regulations applicable in the territories of each Party, to facilitate entry to, sojourn in, and exit 
from  its  territory  of  persons  and  equipment  involved  in  or  used  in  cooperative  activities 
identified by the Parties under the provisions of this Agreement.  

Article 9 

Dissemination and utilisation of information 

The dissemination and utilisation of information, and the management, allocation and exercise 
of  intellectual  property  rights  resulting  from  joint  research  under  this  Agreement  shall  be 
subject  to  the  requirements  of  the  Annex.  This  Annex  shall  be  an  integral  part  of  this 
Agreement. 

Article 10 

Territorial application 

This Agreement shall apply, on the one hand to the territories in which the Treaty establishing 
the European Community is applied and under the conditions laid down in that Treaty, and on 
the  other  hand,  to  the  territory  of  India.  This  shall  not  prevent  the  conduct  of  cooperative 
activities on the high seas, outer space, or the territory of third countries, in accordance with 
international law. 

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Article 11 

Entry into force, termination and dispute settlement 

(a) 

(b) 

(c) 

(d) 

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

This Agreement shall be concluded for a period of five years and may be renewed by 
mutual  agreement  between  the  Parties  after  evaluation  during  the  last  year  of  the 
aforementioned period. 

This  Agreement  may  be  amended  by  agreement  of  the  Parties.  Amendments  shall 
enter into force on the date on which the Parties have notified each other in writing 
that their respective internal procedures necessary for amending this Agreement have 
been completed. 

This  Agreement  may  be  terminated  at  any  time  by  either  Party  upon  six  months' 
written  notice.  The  expiration  or  termination  of  this  Agreement  shall  not  affect  the 
validity  or  duration  of  any  arrangements  made  under  it,  or  any  specific  rights  and 
obligations that have accrued in compliance with the Annex. 

(e) 

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

Article 12 

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

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

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ANNEX 

INTELLECTUAL PROPERTY RIGHTS 

Rights to intellectual property created of furnished under the Agreement shall be allocated as 
provided in this Annex. 

APPLICATION 

This  Annex  is  applicable  to  joint  research  undertaken  pursuant  to  the  Agreement,  except  as 
otherwise agreed by the Parties. 

I. Ownership, allocation and exercise of rights 

1. 

2. 

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

This  Annex  addresses  the  allocation  of  rights  and  interests  of  the  Parties  and  their 
participants. Each Party and its participants shall ensure that the other Party and its 
participants may obtain the rights to intellectual property allocated to it in accordance 
with this Annex. This Annex does not otherwise alter or prejudice the allocation of 
rights,  interests  and  royalties  between  a  Party  and  its  nationals  or  participants,  and 
the rules of diffusion and utilisation of information, which will be determined by the 
laws and practices of each Party. 

3. 

The Parties will also be guided by, and contractual arrangements should provide for, 
the following principles: 

(a) 

(b) 

(c) 

effective protection of intellectual property. The Parties shall ensure that they 
and/or  their  participants  notify  one  another  within  a  reasonable  time  of  the 
creation  of  any  intellectual  property  arising  under  the  Agreement  or 
implementation  arrangements  and  to  seek  protection  for  such  intellectual 
property in a timely fashion; 

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

non-discriminatory treatment of participants from the other Party as compared 
with  the  treatment  given  to  its  own  participants,  with  regard  to  ownership, 
utilisation  and  dissemination  of  information  and  ownership,  allocation  and 
exercise of intellectual property rights; 

(d)  protection of business-confidential information. 

4. 

The  participants  shall  jointly  develop  a  Technology  Management  Plan  (TMP).  The 
TMP  is  a  specific  agreement  to  be  concluded  between  the  participants  in  joint 
research defining their respective rights and obligations, including those in respect of 
the  ownership  and  use,  including  publication,  of  information  and  intellectual 
property  to  be  created  in  the  course  of  joint  research.  With  respect  to  intellectual 
property  (IP),  the  TMP  will  normally  address,  among  other  things,  ownership, 
protection,  user  rights  for  research  and  development  purposes,  exploitation  and 

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joint  publication, 

including  arrangements  for 

dissemination, 
the  rights  and 
obligations of visiting researchers and dispute settlement procedures. The TMP shall 
also address foreground and background information, licensing and deliverables. The 
TMP shall be developed within the rules and regulations in force in each Party taking 
into  account  the  aims  of  the  joint  research,  the  relative  financial  or  other 
contributions  of  the  Parties  and  participants,  the  advantages  and  disadvantages  of 
licensing by territory or for fields of use, requirements imposed by applicable laws, 
the need for dispute settlement procedures and other factors deemed appropriate by 
the  participants.  The  rights  and  obligations  concerning  the  research  generated  by 
visiting  researchers  (i.e.  researchers  not  coming  from  a  Party  or  a  participant)  in 
respect of IP shall also be addressed in the joint technology management plans. The 
TMP  shall  be  approved  by  the  responsible  funding  agency,  or  department  of  the 
Party  involved  in  financing  the  research,  before  the  conclusion  of  the  specific 
research and development cooperation contracts to which they are attached. 

5. 

6. 

7. 

8. 

Information  or  intellectual  property  created  in  the  course  of  joint  research  and  not 
addressed in a TMP will be allocated according to the principles set out in the TMP. 
In  the  event  of  a  disagreement  which  cannot  be  resolved  by  the  agreed  dispute 
settlement  procedure,  such  information  or  IP  shall  be  owned  jointly  by  all  the 
participants involved in the joint research from which the information or IP results. 
Each  participant  to  whom  this  provision  applies  shall  have  the  right  to  use  such 
information  or  IP  for  his  own  commercial  exploitation  with  no  geographical 
limitation. 

In accordance with applicable laws, each Party will ensure that the other Party and its 
participants may have the rights to IP allocated to them. 

While maintaining the condition of competition in areas affected by the Agreement, 
each Party shall endeavour to ensure that rights acquired pursuant to the Agreement, 
and  arrangements  made  under  it,  are  exercised  in  such  a  way  as  to  encourage,  in 
particular  

(i) 

the dissemination and use of information created, disclosed or otherwise made 
available, under the Agreement, and  

(ii) 

the adoption and implementation of international standards.  

Termination  or  expiry  of  the  Agreement  will  not  affect  rights  or  obligations  of 
participants with regard to intellectual property under approved on-going projects in 
accordance with this Annex. 

II. Copyright works and scientific literary works 

Copyright  belonging  to  the  Parties  or  to  their  participants  shall  be  accorded  treatment 
consistent  with  the  Berne  Convention  (Paris  Act  1971)  and  the  TRIPS  Agreement.  Without 
prejudice to Section III, and unless otherwise agreed in the TMP, results of research shall be 
published  jointly  by  the  Parties  or  participants.  Subject  to  the  foregoing  general  rule,  the 
following procedures shall apply: 

1. 

In the case of publication by a Party or public bodies of that Party of scientific and 
technical journals, articles, reports, books, including video and software arising from 

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joint  research  pursuant  to  the  Agreement,  the  other  Party  will  be  entitled  to  a 
worldwide,  non-exclusive,  irrevocable,  royalty-free  license  to  translate,  reproduce, 
adapt, transmit and publicly distribute such works. 

2. 

3. 

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

All  copies  of  a  copyright  work  to  be  publicly  distributed  and  prepared  under  this 
provision  shall  indicate  the  names  of  the  author(s)  of  the  work  unless  an  author 
explicitly  declines  to  be  named.  Copies  shall  also  bear  a  clearly  visible 
acknowledgement of the cooperative support of the Parties. 

III. Undisclosed information 

A. Documentary undisclosed information 

1. 

Each Party, its agencies or its participants, as appropriate, shall identify at the earliest 
possible  moment,  and  preferably  in  the  TMP,  the  information  that  they  wish  to 
remain  undisclosed  in  relation  to  the  Agreement,  taking  into  account  inter  alia  the 
following criteria: 

(a) 

(b) 

(c) 

 secrecy of the information in the sense that it is not, as a body or in the precise 
configuration  or  assembly  of  its  components,  generally  known  among,  or 
readily accessible by lawful means to, experts in the fields; 

 the  actual  or  potential  commercial  value  of  the  information  by  virtue  of  its 
secrecy; 

previous protection  of  the  information in the  sense that it has been subject to 
steps  that  were  reasonable  under  the  circumstances  by  the  person  lawfully  in 
control,  to  maintain  its  secrecy.  The  Parties  and  their  participants  may  in 
certain  cases  agree  that,  unless  otherwise  indicated,  parts  or  all  of  the 
information  provided,  exchanged  or  created  in  the  course  of  joint  research 
pursuant to the Agreement may not be disclosed. 

2. 

3. 

Each  Party  shall  ensure  that  it  and  its  participants  clearly  identify  undisclosed 
information, for example by means of an appropriate marking or restrictive legend. 
This also applies to any reproduction of the said information, in whole or in part. A 
Party  receiving undisclosed information pursuant to the  Agreement will respect the 
privileged  nature  thereof.  These  limitations  shall  automatically  terminate  when  this 
information is disclosed by the owner into the public domain. 

Undisclosed information communicated under this Agreement may be disseminated 
by  the  receiving  Party  to  persons  within  or  employed  by  the  receiving  Party  and 
other  concerned  departments  or  agencies  of  the  receiving  Party  authorised  for  the 
specific  purposes  of  the  joint  research  under  way,  provided  that  any  undisclosed 
information  so  disseminated  shall  be  pursuant 
to  a  written  agreement  of 
confidentiality and shall be readily recognisable as such, as set out above. 

4. 

With the prior written consent of the Party providing undisclosed information under 
this  Agreement,  the  receiving  Party  may  disseminate  such  undisclosed  information 

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more widely than otherwise permitted in paragraph 3. The Parties shall cooperate in 
developing  procedures  for  requesting  and  obtaining  prior  written  consent  for  such 
wider dissemination, and each Party will grant such approval to the extent permitted 
by its domestic policies, regulations and laws.  

B. Non-documentary undisclosed information 

Non-documentary  undisclosed  or  other  confidential  information  provided  in  seminars  and 
other meetings arranged under this Agreement, or information arising from the attachment of 
staff,  use  of  facilities,  or  joint  projects,  shall  be  treated  by  the  Parties  or  their  participants 
according  to  the  principles  specified  for  documentary  information  in  the  Agreement; 
provided, however, that the recipient of such undisclosed or other confidential or privileged 
information has been made aware in advance and in written form of the confidential character 
of the information to be communicated.  

C. Control 

Each  Party  shall  endeavour  to  ensure  that  undisclosed  information  received  by  it  under  this 
Agreement is controlled as provided herein. If one of the Parties becomes aware that it will 
be,  or  may  be  reasonably  expected  to  become,  unable  to  meet  the  non-dissemination 
provisions of sections A and B, it shall immediately inform the other Party. The Parties will 
thereafter consult to define an appropriate course of action.  

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL : 

Proposal  for  a  Council  Decision  concerning  the  conclusion  of  an  Agreement  renewing  the 
Agreement  for  scientific  and  technological  cooperation  between  the  European  Community 
and the Government of the Republic of India  

2. 

ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

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, etc.) 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: 

Duration of five years, to be renewed by mutual agreement between the Parties, as laid down 
in Article 11 of the Agreement. 

3.3. 

Budgetary characteristics : 

Budget 
line 

xx 
01.05.03 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Non-comp 

Non-diff4 

NO 

YES 

YES 

No [3] 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

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

EUR million (to 3 decimal places) 

4 

Non-differentiated appropriations hereafter referred to as NDA 

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Section 
no. 

Expenditure type 

2007 

2008 

2009 

2010 

2011 

- 

Total 

Operational expenditure5 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

0 

0 

a 

b 

Administrative expenditure within reference amount6 

0 

0 

Technical 
administrative 
(NDA) 

& 
assistance 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

0.110 

0.110 

0.110 

0.110 

0.110 

- 

0.550 

Commitment 
Appropriations 

0.110 

0.110 

0.110 

0.110 

0.110 

a+c 

Payment Appropriations 

b+c  0.110 

0.110 

0.110 

0.110 

0.110 

Administrative expenditure not included in reference amount7 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

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

0.0585  0.0585

0.0585

0.0585

0.0585 

8.2.5 

d 

8.2.6 

e 

- 

- 

- 

0.550 

0.550 

0.2925 

Total indicative financial cost of intervention 

TOTAL  CA  including 
cost 
Human 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

Co-financing details 

0.1685  0.1685  0.1685  0.1685  0.1685 

0.1685  0.1685  0.1685  0.1685  0.1685 

- 

- 

0.8425 

0.8425 

a+c+d+e 

b+c+d+e 

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) 

5 
6 
7 

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

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Co-financing body 

N+1 

N+2 

N+3 

N+4 

Year 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

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) 
Agreement8 (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: 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

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

] 

[n+4]  [n+5]

9

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

4.2. 

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

Annual requirements 

2007 

2008 

2009 

2010 

2011 

- 

Total 
number 
human resources 

of 

0.5 

0.5 

0.5 

0.5 

0.5 

8 
9 

See points 19 and 24 of the Interinstitutional agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

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5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

This decision will allow both Parties to continue, 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 

This  Agreement  is  based  on  the  principles  of  mutual  benefit,  reciprocal  opportunities  for 
cooperation  activities  such  as  joint  or  coordinated  calls  for  joint  projects,  access  to  each 
other's programmes and activities relevant for the purpose of the Agreement and the effective 
protection  of  intellectual  property  and  equitable  sharing  of  intellectual  property  rights.  The 
proposal also provides for missions by EU experts and officials, and for workshops, seminars 
and  meetings  to  be  organised  in  the  European  Community  and  in  India.  The  cooperative 
activities  in  the  field  of  science  and  technology  under  this  agreement  are  complementary  to 
and in support of other Community activities vis à vis India.  

5.3. 

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

This decision should allow both India 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) 

Centralised Management 

x 

Directly by the Commission 

Indirectly by delegation to: 

Executive Agencies 

ٱBodies set up by the Communities as referred to in art. 185 of the Financial Regulation 

ٱNational public-sector bodies/bodies with public-service mission 

ٱShared or decentralised management 

ٱ 

ٱ 

With Member states 

With Third countries 

Joint management with international organisations (please specify) 

Relevant comments: 

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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 India. This evaluation will cover: 

(a) 

Performance indicators 

–  number of missions and meetings; 

–  number of different fields of cooperation activities. 

(b) 

gathering of information: 

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

(c) 

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

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The Commission will evaluate the actions covered by this cooperation agreement before the 
end of the five year implementation period. 

6.2.2.  Measures taken  following  an intermediate/ex-post evaluation (lessons  learned from 

similar experiences in the past) 

For  the  Community  the  positive  decision  to  renew  the  agreement  was  based  on  an 

impact assessment report of the agreement by an independent expert. 

6.2.3.  Terms and frequency of future evaluation 

The parties to the Agreement will evaluate the application thereof annually in the meetings of 
the Joint Steering 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  implies  granting  financial  contributions  to  third  parties,  the  Commission  will 
carry  out,  where  appropriate,  financial  audits,  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 

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

In  order  to  achieve  this  aim,  rules  on  checks,  measures  and  penalties,  with  references  to 
Regulations No 2988/95, 2185/96, 1073/99 and 1074/99 will be set out 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  carrying  out  of  administrative  checks  as  part  of  anti-fraud  measures,  in 
accordance with Regulations No 2185/96, No 1073/1999 and No 1074/1999; 

the  application  of  administrative  penalties  for  all 
intentional  or  negligent 
irregularities  in  the  implementation  of  the  contracts,  in  accordance  with  the 
framework Regulation No 2988/95, including a blacklisting 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,  an  internal  audit  and  control  programme  in  respect  of 
scientific and budgetary aspects will be carried out by the DG Research staff responsible; an 
internal  audit  will  be  carried  out  by  the  Internal  audit  Unit  of  DG  Research;  and  local 
inspections will be undertaken by the Court of Auditors of the European Union. 

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8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(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.1 10 

Action 1………………. 

Output 1 

Output 2 

Action 2………………. 

Output 1 

Sub-total Objective 1 

OPERATIONAL OBJECTIVE No.2  

Action 1………………. 

Output 1 

Sub-total Objective 2 

OPERATIONAL OBJECTIVE No.n 

Sub-total Objective n 

TOTAL COST 

10 

As described under Section 5.3 

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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) 

2007 

2008 

2009 

2010 

2011 

- 

A*/AD 

0,5 

0,5 

0,5 

0,5 

0,5 

- 

B*, 
C*/AST 

Officials 
or 
temporary 
staff11 
(XX 01 
01) 

Staff  financed12  by 
art. XX 01 02 

staff13 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

0,5 

0,5 

0,5 

0,5 

0,5 

- 

8.2.2.  Description of tasks deriving from the action 

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

8.2.3. 

Sources of human resources (statutory) 

x 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

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

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

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

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

8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

11 
12 
13 

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 

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Budget line 

(number and heading) 

2007 

2008 

2009 

2010 

2011 

- 

TOTAL 

1  Technical  and  administrative  assistance 
(including related staff costs) 

Executive agencies14 

Other technical and administrative assistance 

0.110 

0.110 

0.110 

0.110 

0.110 

- 

0.550 

-intra muros  

-extra muros 

Total Technical and administrative assistance  0.110 

0.110 

0.110 

0.110 

0.110 

- 

0.550 

For  the  organisation  of  workshops,  conferences  and  seminars  to  promote  information 
exchange and enhance scientific cooperation between India and the EC. 

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

amount 

Type of human resources 

2007 

2008 

2009 

2010 

2011 

Total 

EUR million (to 3 decimal places) 

Officials and temporary staff (XX 01 
01) 

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) 

0.0585 

0.0585 

0.0585 

0.0585 

0.0585 

0.2925 

0.0585 

0.0585 

0.0585 

0.0585 

0.0585 

0.2925 

Calculation– Officials and Temporary agents 

Amount given on the basis of the annual cost of an official (all categories included) i.e.:  

117 000 euro/2 =58.500 

Calculation– Staff financed under art. XX 01 02 

14 

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

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8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

- 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees15 

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 

including reference to budget line) 

Total Administrative expenditure, other than human 
resources and associated costs (NOT included in 
reference amount) 

Calculation - Other administrative expenditure not included in reference amount 

15 

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

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