Proposal for a decision of the Council on the conclusion on behalf of the European Community of the agreement on scientific and technological cooperation between the European Community of the one part and the Government of New Zealand of the other part
Date: 2008-04-04
Institutions: European Commission
Subjects: EU research policy, New Zealand, cooperation agreement (EU), intellectual property, scientific cooperation, technical cooperation, technology

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 4.4.2008 
COM(2008) 170 final 

2008/0066 (CNS) 

Proposal for a 

DECISION OF THE COUNCIL  

on the signature on behalf of the European Community of the Agreement on Scientific 
and Technological Cooperation between the European Community of the one part and 
the Government of New Zealand of the other part 

Proposal for a 

DECISION OF THE COUNCIL  

on the conclusion on behalf of the European Community of the Agreement on Scientific 
and Technological Cooperation between the European Community of the one part and 
the Government of New Zealand of the other part  

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

Subject:  Proposal  for  a  Council  decision  concerning  the  signature  and  conclusion  of  a 
scientific  and  technical  cooperation  agreement  between  the  European 
Community, on the one part, and the Government of New Zealand on the other 
part 

New Zealand is the only non European industrialised country with which the EC still does not 
have  a  Science  and  Technology  agreement  in  force.  Currently  the  cooperation  between  the 
Community  and  New  Zealand  is  based  on  a  Technical  Arrangement  for  Cooperation  in 
Science  and  Technology  between  the  Commission  and  the  Government  of  New  Zealand 
which was signed and entered into force on 17 May 1991. This arrangement does not foresee 
an institutionalised coordination of cooperative activities nor does it provide for specific rules 
covering the treatment and protection of intellectual property rights. 

Over the last year and a half the New Zealand government has repeatedly stated at the highest 
political  level  its  wish  to  upgrade  the  above  "Science  and  Technology  arrangement"  to  a 
formal agreement. Furthermore, in a letter to Commissioner Potočnik of 17 October 2006 the 
New Zealand Minister for Research, Science and Technology stated the case for an upgrade 
more concretely. The letter identified a number of priority areas of interest for New Zealand, 
where  they  would  like  to  strengthen  collaboration,  notably  through  the  Framework 
Programme.  These  areas  are:  Food,  Agriculture  and  Biotechnology,  Information  and 
Communication  Technologies,  Health,  Environment  and  Researcher  mobility.  They  fully 
correspond to the areas that the Commission services consider interesting and promising for 
future collaboration from a European point of view. 

Therefore,  Commissioner  Potočnik  replied  on  23  November  2006  to  the  letter  of  the  New 
Zealand  Minister  for  Research,  Science  and  Technology  and  confirmed  that  he  shared  this 
assessment  as  regards  the  usefulness  of  a  formal  Science  and  Technology  cooperation 
agreement  between  the  Community  and  New  Zealand  and  that  he  would  welcome  the 
conclusion of an S&T cooperation agreement. 

Thus,  upon  a  proposal  of  the  Commission,  the  Council  authorised  the  Commission  on  18 
September  2007  to  negotiate  on  behalf  of  the  European  Community  an  S&T  cooperation 
agreement  with  the  Government  of  New  Zealand  and  issued  the  relevant  negotiating 
directives.  The  negotiations  resulted  in  the  attached  draft  agreement  text  initialled  on  20 
November 2007. 

The  Agreement  is  consistent  with  the  negotiating  directives:  it  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.  

Furthermore,  the  agreement  foresees  in  Article  6  (3)  (c)  that  the  Joint  Committee  that  is 
established by the two executive agents of the Parties may make, subject to each Party's domestic 
approval  processes,  technical  amendments  to  the  Agreement  as  may  be  required.  The  two 
negotiating sides agreed that these technical amendments should be restricted to the modification 
of  technical  terms  and  references  that  might  be  altered  in  the  course  of  change  from  one 
Framework Programme to the other. In order to ensure a quick implementation of these technical 
amendments and with a view to avoiding an onerous procedure for amendments which leave the 
substance  of  the  Agreement  untouched,  the  Commission  requests  the  Council  to  authorise  it, 
according to Article 300 (4) EC Treaty, to approve the modifications provided for in Article 6 (3) 
(c) of the Agreement on behalf of the Community 

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According to Article 13 (2) of the Agreement it will be concluded for an initial period of five 
years and continue in force after this initial period unless either Party notifies the other that it 
shall be terminated.  

The  negotiation  and  conclusion  of  a  Science  and  Technology  co-operation  agreement  with 
New Zealand lies in the European interest. Such an agreement would allow to fully exploit the 
co-operation  potential  with  this  industrialised  country.  Given  that  an  informal  "Science  and 
Technology  arrangement"  has  already  existed  since  1991,  the  additional  administrative 
burden and workload deriving from an upgrade would be relatively limited. 

In light of the above consideration the Commission proposes to the Council 

– 

– 

To approve on behalf of the European Community the attached decisions; 

To notify the New Zealand authorities that the European Community has completed 
the procedures necessary for the entry into force of the Agreement. 

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Proposal for a 

DECISION OF THE COUNCIL  

on the signature on behalf of the European Community of the Agreement on Scientific 
and Technological Cooperation between the European Community of the one part and 
the Government of New Zealand of the other part 

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 Commission, 

WHEREAS: 

(1) 

(2) 

(3) 

The  Commission  has  negotiated,  on  behalf  of  the  Community,  an  Agreement  on 
Scientific and Technological Cooperation with the Government of New Zealand. 

The negotiations resulted in the attached agreement initialled on 20 November 2007. 

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: 

Article 1 

(1) 

Subject to conclusion at a later date, the President of the Council is hereby authorised 
to designate the person empowered to sign, on behalf of the European Community, 
the  Agreement  on  Scientific  and  Technological  Cooperation  between  the  European 
Community, of the one part, and the Government of New Zealand, on the other part. 

(2) 

The text of the Agreement is annexed to this Decision. 

The  Commission  shall  adopt  the  position  of  the  Community  to  be  taken  in  the  Joint 
Committee  established  by  Article  6  (1)  of  the  Agreement  with  regard  to  technical 
amendments to the Agreement according to Article 6 (3) (c) of the Agreement. 

Article 2 

The Decision shall be published in the Official Journal. 

Done at Brussels, […] 

Article 3 

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For the Council 
The President 

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2008/0066 (CNS) 

Proposal for a 

DECISION OF THE COUNCIL  

on the conclusion on behalf of the European Community of the Agreement on Scientific 
and Technological Cooperation between the European Community of the one part and 
the Government of New Zealand of the other part  

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 Commission, 

Having regard to the opinion of the European Parliament, 

WHEREAS: 

(1) 

(2) 

The  Commission  has  negotiated,  on  behalf  of  the  Community,  an  Agreement  on 
Scientific and Technological Cooperation with the Government of New Zealand, 

This  Agreement  was  signed  by  the  representatives  of  the  Parties  on  …………in 
…….., subject to its conclusion at a later date, 

(3) 

The Agreement should be approved, 

HAS DECIDED AS FOLLOWS: 

Article 1 

The  Agreement  on  Scientific  and  Technological  Cooperation  between  the  European 
Community  and  the  Government  of  New  Zealand  is  hereby  approved  on  behalf  of  the 
European Community1. 

The Commission shall represent the Community and adopt the position of the Community to 
be taken in the Joint Committee established by Article 6 (1) of the Agreement with regard to 
technical amendments to the Agreement according to Article 6 (3) (c) of the Agreement. 

Article 2 

1 

For the text of the Agreement, see OJ L xxxx. 

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Article 3 

The  President  of  the  Council,  on  behalf  of  the  European  Community  shall  make  the 
notification provided for in Article 13 (1) of the Agreement. 

Done at Brussels, […] 

For the Council 
The President 

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ANNEX  

AGREEMENT 

on Scientific & Technological Cooperation between the European Community and the 
Government of New Zealand 

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

CONSIDERING  that  the  Parties  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; 

NOTING that there has been cooperation and information exchange in a number of scientific 
and  technological  areas  under  the  Arrangement  between  the  Commission  of  the  European 
Communities  and  the  Government  of  New  Zealand  for  Cooperation  in  Science  and 
Technology of 17 May 1991;  

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 benefit;  

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 

Definitions 

For the purposes of this Agreement: 

1. 

2. 

3. 

“Cooperative  Activities”  means  both  Direct  Cooperative  Activities  and  Indirect 
Cooperative Activities. 

“Direct Cooperative Activities” means cooperative activities carried out in the areas 
of science and technology between the Parties or their executive agents.  

“Indirect  Cooperative  Activities”  means  cooperative  activities,  other  than  Direct 
Cooperative  Activities,  in  the  areas  of  science  and  technology  carried  out  between 
the  Government  of  New  Zealand  or  Participants  of  New  Zealand  on  the  one  hand, 
and the Community or Participants of the Community on the other, through:  

(a) 

(b) 

the  participation  of  the  Government  of  New  Zealand  or  New  Zealand 
Participants in the Community Framework Programme under Article 166 of the 
Treaty  establishing  the  European  Community  (hereinafter  referred  to  as  “the 
Framework Programme”); and 

the participation of the Community or Participants of the Community in New 
Zealand  research  programmes  or  projects  in  science  and  technology  fields 
similar to those covered by the Framework Programme.  

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4. 

5. 

“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. 

“Participant”  means  any  natural  person  ordinarily  resident  in  New  Zealand  or  the 
Community,  or  any  legal  person  established  in  New  Zealand  or  in  the  Community 
having legal personality and being entitled to rights and subject to obligations of any 
kind in its own name and does not include the Parties. For the avoidance of doubt, 
New  Zealand  Crown  Entities  are  Participants  and  are  not  included  within  the 
meaning  of  “a  Party”.  The  EC  Joint  Research  Centre  (JRC)  will  be  both,  a 
Participant, for the purpose of participating in Indirect Cooperative Activities, and an 
executive agent, for the purpose of carrying out Direct Cooperative Activities.  

Article 2  

Purpose and Principles 

1. 

The  Parties  shall  encourage,  develop  and  facilitate  Cooperative  Activities  for 
peaceful purposes in accordance with this Agreement and the laws and regulations of 
both Parties. 

2. 

Cooperative Activities shall be carried out on the basis of the following principles: 

(a)  Mutual and equitable contributions and benefits;  

(b)  Mutual access for Participants to research programmes or projects operated or 

funded by the other Party; 

(c) 

(d) 

Timely exchange of information which may concern Cooperative Activities;  

Promotion  of  knowledge-based  societies  for  the  economic  and  social 
development of both Parties; and 

(e) 

Protection of intellectual property rights in accordance with Article 8. 

Article 3  

Cooperative Activities 

1. 

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) 

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; and 

Other  forms  of  activities  in  the  areas  of  science  and  technology,  including 
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. 

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2. 

3. 

4. 

1. 

For  the  purpose  of  developing  Indirect  Cooperative  Activities,  any  New  Zealand 
Participant  or  Participant  of  the  Community  may  collaborate  in  any  research 
programme or project operated or funded by the other Party, with the agreement of 
the  other  Participants  in  that  programme  or  project  and  in  accordance  with  the 
respective laws and regulations of the Parties and the relevant rules of participation 
in such programmes or projects.  

Within the framework of this Agreement, in case one Party concludes a contract with 
a Participant 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. 

The  coordination  and  facilitation  of  Cooperative  Activities  under  this  Agreement 
shall be carried out, on behalf of New Zealand, by the Ministry of Research, Science 
and  Technology  or  its  successor  agency  and,  on  behalf  of  the  Community,  by  the 
services  of  the  Commission  of  the  European  Communities,  who  shall  act  as 
executive agents.  

Article 4 

Implementing Arrangements 

Where appropriate, Cooperative Activities may take place pursuant to implementing 
arrangements  between  the  Parties  or  between  the  Commission  and  New  Zealand 
organisations  that  fund  research  programmes  or  projects  on  behalf  of  the  New 
Zealand Government. These arrangements may set out:  

(a)  The  nature  and  duration  of  cooperation  in  a  specific  area  or  for  a  specific 

purpose;  

(b)  The treatment of Intellectual Property generated by the cooperation, consistent 

with this Agreement;  

(c)  Any applicable funding commitments;  

(d)  The allocation of costs associated with the cooperation; and 

(e)  Any other relevant matters.  

2. 

Cooperative  Activities  ongoing  at  the  entry  into  force  of  this  Agreement  shall  be 
incorporated under this Agreement as of that date. 

Article 5 

Entry of Personnel and Equipment 

Each Party shall, in accordance with the relevant laws and regulations of the Parties and EU 
Member  States,  facilitate  entry  to  and  exit  from  its  territory  of  personnel,  material  and 
equipment of the Participants engaged in or used in Cooperative Activities.  

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1. 

2. 

3. 

4. 

5. 

1. 

2. 

3. 

Article 6 

Joint Committee 

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  representatives  of  each  Party  and  shall  be  co-chaired  by 
representatives of both Parties.  

The Joint Committee shall meet, at least every two years, alternately in New Zealand 
and the Community. 

The functions of the Joint Committee shall be to: 

(a)  Exchange views and information on scientific and technological policy issues; 

(b)  Make recommendations to the Parties with regard to the implementation of this 
Agreement,  including  the  identification  and  recommendation  of  additions  to 
the  Cooperative  Activities  referred  to  in  Article  3  and  concrete  measures  to
 improve the mutual access provided for under Article 3(2);  

(c)  Make,  subject  to  each  Party’s  domestic  approval  processes,  technical 

amendments to this Agreement as may be required; and 

(d)  At each meeting, review and provide a report to the Parties on the status, the 
achievements  and  the  effectiveness  of  Cooperative  Activities,  including  the 
mutual  access  provided  for  under  Article  3(2)  and  each  Party’s  arrangements 
for visiting researchers. 

The Joint Committee shall establish its own rules of procedure. Its decisions shall be 
reached by consensus. 

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

Article 7 

Funding 

Each Party’s implementation of this Agreement shall be subject to the availability of 
appropriated funds and the applicable laws and regulations of that Party. 

The costs of Cooperative Activities shall be borne as decided by the Participants or 
the Parties involved.  

When  one  Party  provides  financial  support  to  Participants  of  the  other  Party  in 
connection  with  Indirect  Cooperative  Activities,  any  grants  and  financial  or  other 
contributions from the funding Party to Participants of the other Party in support of 
those activities shall be granted tax 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.  

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Article 8  

Information and Intellectual Property Rights 

1. 

2. 

3. 

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

Each  Party  shall  ensure  that  its  treatment  of  the  Intellectual  Property  rights  and 
obligations  of  Participants  in  Indirect  Cooperative  Activities,  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 the Participants in Indirect Cooperative Activities of the 
other  Party  shall  have  the  same  treatment  with  regard  to  Intellectual  Property  as  is 
accorded to the Participants of the first Party under the relevant rules of participation 
of each research programme or project, or its applicable laws and regulations. 

Article 9 

Territorial Application 

This Agreement shall apply:  

(a)  to  the  territories  in  which  the  Treaty  establishing  the  European  Community  is 

applied and under the conditions laid down in that Treaty; and  

(b) 

to the territory of New Zealand.  

This shall not prevent the conduct of Cooperative Activities on the high seas, in outer space or 
the territory of third countries, in accordance with international law. 

Article 10 

Other Agreements and Dispute Settlement 

1. 

2. 

The provisions of this Agreement shall not prejudice the rights and obligations of the 
Parties under existing and/or future agreements between the Parties, or between any 
Member State of the Community and the Government of New Zealand. 

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

Article 11 

Status of the Annex 

The  Annex  to  this  Agreement  constitutes  a non-binding  arrangement  between  the  executive 
agents regarding Intellectual Property rights and other proprietary rights created or introduced 
in the course of Direct Cooperative Activities. 

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Article 12 

Amendment 

Except for the technical amendments made by the Joint Committee under Article 6(3)(c), this 
Agreement may be amended with the mutual consent of the Parties through the exchange of 
diplomatic  notes.  Except  as  otherwise  agreed  by  the  Parties,  an  amendment  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 for entry into force of the amendment. 

Article 13 

Entry into Force and Termination 

1. 

2. 

3. 

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 an initial period of five years. Unless either 
Party notifies the other that this Agreement terminates at the end of the initial period, 
this Agreement shall continue in force after the initial period until such time as either 
Party  gives  notice  in  writing  to  the  other  Party  of  its  intention  to  terminate  this 
Agreement. In such case this Agreement shall cease to have effect six months after 
the receipt of such notification. 

The  termination  of  this  Agreement  shall  be  without  prejudice  to  any  Cooperative 
Activities 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 Annex 
to this Agreement. 

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

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

THE 
FOR 
COMMUNITY: 

EUROPEAN 

FOR  THE  GOVERNMENT  OF 
NEW ZEALAND: 

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ANNEX 

Arrangement regarding Intellectual Property rights and other proprietary rights 
created or introduced in the course of Direct Cooperative Activities between New 
Zealand and the European Community 

The  Ministry  of  Research,  Science  and  Technology,  and  the  Commission  of  the  European 
Communities  (“the  executive  agents”),  consistent  with  Article  11  of  the  Agreement  on 
Scientific  &  Technological  Cooperation  between  the  European  Community  and  the 
Government of New Zealand (“the Agreement”) have  reached the following understandings 
regarding the protection of Intellectual Property rights created or introduced in the course of 
Direct Cooperative Activities (as defined in Article 1 of the Agreement) under the Agreement:  

1. 

Unless otherwise mutually decided by the executive agents, the following rules will 
apply to Intellectual Property rights created or introduced by the Parties in the course 
of Direct Cooperative Activities: 

(a)  The Party creating the Intellectual Property will have full ownership. In cases 
where  the  Intellectual  Property  has  been  jointly  created  and  the  respective 
share  of  the  work  by  the  two  Parties  cannot  be  ascertained,  the  Parties  will 
have joint ownership of the Intellectual Property. 

(b)  Except  as  set  out  in  paragraph  2,  the  Party  owning  or  introducing  the 
Intellectual  Property  will  grant  the  other  Party  the  access  rights  necessary  to 
carry out any Direct Cooperative Activities. Such access rights will be granted 
on a royalty-free basis. 

(c)  Except as set out in paragraph 2, where the Parties jointly own the Intellectual 
Property,  each  Party  will  grant  the  other  Party  a  non-exclusive,  irrevocable, 
royalty-free  license  to  use  and  exploit  that  Intellectual  Property  for  the  other 
Party’s own purposes. 

2. 

Unless otherwise mutually decided by the executive agents, the following rules will 
apply  to  copyrights  and  related  rights  of  the  Parties  created  or  introduced  by  the 
Parties in the course of Direct Cooperative Activities: 

(a)  When  a  Party  publishes  scientific  and  technical  data,  information  or  results 
arising  from  and  relating  to  Cooperative  Activities,  by  means  of  journals, 
articles,  reports,  books,  the  internet,  or  in  other  forms,  including  video  tapes 
and electronic storage devices, the publishing Party will 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.  However,  the 
publishing  Party  has  no  obligation  to  obtain  such  licenses  from  third  parties 
that the publishing Party did not know, at the time of first publication, owned 
any Intellectual Property in such works.  

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

3. 

Unless otherwise mutually decided by the executive agents, all Intellectual Property 
under paragraphs 1 and 2 will be provided without any warranty, express or implied, 
including warranties as to fitness for a particular purpose, title or non-infringement.  

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4. 

Unless otherwise mutually decided by the executive agents, the following rules will 
apply to the undisclosed information of the Parties: 

(a)  When  communicating  to  the  other  Party  information  necessary  to  carry  out 
Direct Cooperative Activities, each Party will identify the information which it 
wishes to remain undisclosed (‘undisclosed information’). 

(b)  A Party receiving undisclosed information may communicate that information 
to  its  agencies,  or  persons  employed  through  these  agencies,  for  the  specific 
purpose of carrying out Direct Cooperative Activities. The receiving Party will 
impose an obligation of confidentiality for such undisclosed information on the 
agencies,  their  employees  and  third  parties,  including  contractors  and  sub-
contractors.  

(c)  Only  with  the  prior  written  consent  of  the  Party  providing  the  undisclosed 
information,  should  the  other  Party  disseminate  such  undisclosed  information 
more widely than is permitted in paragraph 4(b).The Parties will cooperate to 
develop  procedures  for  the  request  and  obtaining  of  prior  written  consent  for 
such wider dissemination. Upon request, each Party will grant such consent to 
the extent permitted by its laws and regulations. 

(d) 

(e) 

Information  arising  from  seminars,  meetings,  assignments  of  staff  and  of  the 
use  of  facilities  arranged  under  the  Agreement  will  be  treated  as  undisclosed 
information  when  the  Party  providing  the  information  identifies  it  as  such, 
according to paragraph 4(a).  

If  one  Party  becomes  aware  that  it  will  be,  or  expects  to  become,  unable  to 
meet  the  restrictions  and  conditions  of  dissemination  of  this  Annex,  it  will 
immediately  inform  the  other  Party.  The  Parties  will  thereafter  consult  to 
define an appropriate course of action. 

This Arrangement can be modified with the written mutual consent of the executive 
agents. 

This Arrangement will enter into effect on the day the Agreement enters into force.  

5. 

6. 

EN 

14 

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LEGISLATIVE FINANCIAL STATEMENT 

NAME OF THE PROPOSAL 

Draft  Council  Decision  on  the  signature  and  conclusion  of  the  Scientific  and  Technological 
Cooperation  Agreement  between  the  European  Community  and  the  Government  of  New 
Zealand. 

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 13 of the Agreement. 

3.3. Budgetary characteristics (add rows if necessary): 

Budget line 

Expenditure type 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

xx01.05.03 

Non-comp 

Non-
diff2 

NO 

YES 

YES 

No 1A 

2 

Non-differentiated appropriations. 

EN 

15 

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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) 

Section 
no. 

2008

2009 

2010 

2011 

2012 

. 

Total

Expenditure type 

Operational expenditure3 

Commitment Appropriations (CA) 

8.1 

Payment Appropriations (PA) 

a 

b 

0 

0 

Administrative expenditure within reference amount4 

0 

0 

Technical  &  administrative  assistance 
(NDA) 

8.2.4 

c 

0.02 

0.02 

0.02 

0.02 

0.02 

0.10 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT 

Commitment Appropriations 

Payment Appropriations 

a+c

b+c

0.02 

0.02 

0.02 

0.02 

0.02 

0.10 

0.02 

0.02 

0.02 

0.02 

0.02 

0.10 

Administrative expenditure not included in reference amount5 

Human 
resources 
expenditure (NDA) 

and 

associated 

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

8.2.5 

8.2.6 

0 

0 

d 

e 

0 

0 

0. 

0 

0 

0  0 

Total indicative financial cost of intervention 

TOTAL  CA 
cost 
of 
Resources 

TOTAL  PA 
cost 
of 
Resources 

including 
Human 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

0.02 

0.02 

0.02 

0.02 

0.02 

0.10 

0.02 

0.02 

0.02 

0.02 

0.02 

0.10 

3 
4 
5 

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 

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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 

Year 

n + 1

n + 2 

n + 3 

n + 4 

n+5 
and 
later 

Total 

…………………… 

f 

TOTAL  CA  including 
co-financing 

a+c+d
+e+f 

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) 
Agreement6 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3  Financial impact on Revenue 

x 

(cid:133) 

Proposal has no financial implications on revenue 

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. 

Budget line 

Revenue 

Prior to 
action 
[Year n-
1] 

EUR million (to one decimal place) 

Situation following action 

2008 [n+1] [n+2] [n+3

[n+4]  [n+5]

] 

7 

603.1 

a) Revenue in absolute terms 0 

b) Change in revenue 

 ∆ 

(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.) 

6 
7 

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. 

EN 

17 

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4.2 

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

Annual requirements 

2008 

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.  

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with  other 

5.2 
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 New 
Zealand. 

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

5.3 
ABM framework 

This decision should allow both New Zealand 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)8 chosen for the implementation of the action. 

X Centralised Management 

X 

Directly by the Commission 

(cid:133) Indirectly by delegation to: 

(cid:133) Executive Agencies 

(cid:133) Bodies set up by the Communities as referred to in Art. 185 of the Financial Regulation 

(cid:133) National public-sector bodies/bodies with public-service mission. 

8 

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

EN 

18 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(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 New Zealand. 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 New Zealand 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 

before 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 at least every two 

years in the meetings of the Joint Committee referred to in Article 6 thereof.  

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. 

EN 

19 

   EN 

 
 
 
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 
1073/99; 
accordance 

Regulations 

2185/96 

with 

Nos 

and 

the  application  of  administrative  penalties  for  all 
intentional  or  negligent 
irregularities in the implementation of the contracts, in accordance with Framework 
mechanism; 
Regulation 

No 2988/95, 

black-listing 

including 

a 

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 

20 

   EN 

 
 
 
 
 
8. 

DETAILS OF RESOURCES 

8.1 

Objectives of the proposal in terms of their financial cost:  NA 

of 
(Headings 
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 

No. outputs 

Total 
cost 

Total 
cost 

No. outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE No.19 
Action1…………. 
- 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 

9 

As described under Section 5.3. 

EN 

21 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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) 

2008 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

Officials or 
temporary 
staff10 (XX 01 
01) 

0 

A*/
AD 

B*, 
C*/
AST 

Staff financed11 by Art. 
XX 01 02 

0 

Other  staff  financed12 
by Art. XX 01 04/05 

0 

TOTAL 

0 

8.2.2  Description of tasks deriving from the action 

Management of the Agreement will entail missions and attending meetings by EU and New 
Zealand 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) 

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

X 
extended 

(cid:133) 

(cid:133) 

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 

(cid:133) 
redeployment) 

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

(cid:133) 
question 

10 
11 
12 

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 

22 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4  Other 

administrative 

expenditure 

included 

in 

reference 

amount 

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

EUR million (to 3 decimal places) 

Budget line 
(number and heading) 

2008 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 
and later 

TOTAL 

Technical 

1. 
and 
administrative 
assistance 
(including related staff costs) 

 Executive agencies13 

Other 
administrative assistance 

technical 

- intra muros 

- extra muros 

Total 
administrative assistance 

Technical 

and 

0.02 

0.02 

0.02 

0.02 

0.02 

0.1 

and 

0.02 

0.02 

0.02 

0.02 

0.02 

0.1 

8.2.5 

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

EUR million (to 3 decimal places) 

Type of human resources 

2008 

Year 
n+1 

Year 
n+2 

Year n+3  Year n+4 

Year n+5 
and later 

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) 

Calculation– Officials and Temporary agents 

Reference should be made to Point 8.2.1, if applicable 

13 

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

EN 

23 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Staff financed under Art. XX 01 02 NA 

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) 

2008  Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5 

TOTAL 

and 
later 

 XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees14 

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 
nature 

an 
of 
(specify 

administrative 
including reference to budget line) 

expenditure, 
than  human  resources  and 
in 

Total  Administrative 
other 
associated  costs  (NOT 
reference amount) 

included 

Calculation - Other administrative expenditure not included in reference amount 

14 

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

EN 

24 

   EN