Proposal for a COUNCIL DECISION on the conclusion on behalf of the European Community of the Agreement between the European Community and the Government of Japan on cooperation in science and technology 
Date: 2009-07-29
Institutions: European Commission
Subjects: Japan, cooperation agreement, innovation, international cooperation, new technology, renewal of an agreement, research and development, scientific cooperation, scientific research, technology

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.7.2009 
COM(2009) 298 final 

2009/0081 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion on behalf of the European Community of the Agreement between the 
European Community and the Government of Japan on cooperation in science and 
technology 

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EXPLANATORY MEMORANDUM 

Subject: 
Proposal for a Council decision concerning the conclusion of an agreement 
between  the  European  Community  and  the  Government  of  Japan  on  cooperation  in 
science and technology. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

The  EU  and  Japan  are  confronted  with  similar  challenges  concerning  economic 
growth,  industrial  competitiveness,  employment,  regional  and  social  cohesion, 
important,  socio-economic 
sustainable  development,  and  perhaps 
adjustments to deal with ageing societies and the current financial crisis. 

the  most 

The European Community and the Government of Japan (hereinafter "Japan") have 
similar  research  priorities,  such  as  life  sciences,  information  and  communication, 
manufacturing  technologies,  environment,  including  climate  change  and  renewable 
energies,  and  both  are  also  members  of  ITER  –  the  International  Thermonuclear 
Experimental Reactor. 

Japan  is  already  one  of  the  leading  countries  in  terms  of  investment  in  research, 
which  reached  3.61%  of  GDP  in  2008,  with  more  than  81.6%  originating  from  the 
private sector. Therefore, Japan is a very important partner for Europe to cooperate 
with in the area of science and technology. 

However,  S&T  cooperation  potential  remains  under-exploited  between  the  EU  and 
Japan. 

Considering  the  importance  of  science  and  technology  for  economic  and  social 
development in Europe and Japan, both parties expressed the desire to upgrade and 
intensify their cooperation in areas of common interest and at the EU-Japan Summit 
held in Athens on 1 and 2 May, 2003, an Action Plan attached to the Press Statement 
from  that  Summit  foresaw  to  expand  cooperation  in  the  field  of  science  and 
technology. 

On 5 June, 2003, the Council authorised the European Commission to negotiate an 
Agreement  for  scientific  and  technological  cooperation  between  the  European 
Community and Japan. 

In  the  intervening  period,  long  and  detailed  discussions  have  taken  place  between 
both parties, resulting in the attached draft agreement text, initialled on 19 February, 
2009. 

The Agreement is based on the principles of mutual benefit, reciprocal opportunities 
for  access  to  each  other's  programmes  and  activities  relevant  to  the  purpose  of  the 
Agreement,  non-discrimination,  the  effective  protection  of  intellectual  property  and 
equitable sharing of intellectual property rights. 

This S&T agreement will help to structure and enhance the EC-Japan scientific and 
technological cooperation, notably through regular meetings of the Joint Committee, 
in which specific cooperative activities (such as coordinated calls) could be planned. 

10. 

It shall enter into force on the date on which the Parties exchange diplomatic notes 
informing each other that their respective internal procedures necessary for its entry 

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into  force  have  been  completed.  It  shall  remain  in  force  for  five  years  and  shall 
continue in force thereafter unless terminated by either Party at the end of the initial 
five year period or at any time thereafter. In any event, the impact of the Agreement 
and the activities there under may be evaluated every five years by either Party. 

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

– 

– 

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

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

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2009/0081 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the conclusion on behalf of the European Community of the Agreement between the 
European Community and the Government of Japan on cooperation in science and 
technology 

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 Commission1, 

Having regard to the opinion of the European Parliament2, 

Whereas: 

(1) 

(2) 

The  Commission  has  negotiated,  on  behalf  of  the  Community,  an  Agreement  on 
cooperation in science and technology with the Government of Japan, 

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 concluded on behalf of the European Community, 

HAS DECIDED AS FOLLOWS:  

Article 1 

(1) 

The  Agreement  on  cooperation  in  science  and  technology  between  the  European 
Community  and  the  Government  of  Japan  is  hereby  approved  on  behalf  of  the 
European Community3. 

(2) 

The text of the Agreement is attached to this Decision. 

1 
2 
3 

OJ C , , p. . 
OJ C , , p. . 
For text of the Agreement, see OJ L XXXX 

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Article 2 

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 amendments to the 
Agreement according to Article 13 (5) of the Agreement. 

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

Article 3 

Article 4 

The Decision shall be published in the Official Journal of the European Union. 

Done at Brussels,  

For the Council 
The President 

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ANNEX 

AGREEMENT 

BETWEEN THE GOVERNMENT OF JAPAN 

AND THE EUROPEAN COMMUNITY 

ON COOPERATION IN SCIENCE AND TECHNOLOGY 

The  Government  of  Japan  and  the  European  Community  (hereinafter  referred  to  as  “the 
Community”); 

Desiring  to  further  promote  the  close  and  friendly  relations  existing  between  Japan  and  the 
Community,  and  being  aware  of  the  rapid  development  of  scientific  knowledge  and  of  its 
positive contribution in promoting bilateral and international cooperation; 

Wishing to broaden the scope of cooperation in science and technology in a number of areas 
of common interest through the creation of a productive partnership for peaceful purposes and 
for their mutual benefit;  

Believing  that  such  cooperation  and  the  application  of  the  results  of  such  cooperation 
contribute to the economic and social development of Japan and the Community;  

Desiring to establish a formal framework for the conduct of the overall cooperative activities 
which will strengthen cooperation in science and technology between the Parties; 

Have agreed as follows: 

Article 1 

The  Parties  shall  encourage,  develop  and  facilitate  cooperative  activities  under  this 

1. 
Agreement in the areas of science and technology for peaceful purposes. 

The cooperative activities under this Agreement shall be conducted on the basis of the 

2. 
following principles: 

(a) 

mutual and equitable contributions and benefits; 

(b) 

reciprocal  access  to  research  and  development  programmes  and  projects  and 

facilities for visiting researchers; 

(c) 

timely  exchange  of  information  which  may  affect  the  cooperative  activities 

under this Agreement;  

(d) 

promotion  of  a  knowledge-based  society  for  the  benefit  of  the  economic  and 

social development of Japan and the Community. 

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Article 2 

The cooperative activities under this Agreement consist of direct cooperative activities 

1. 
and indirect cooperative activities.  

2. 

For the purpose of this Agreement: 

(a) the term “the Parties” means the Government of Japan and the Community;  

(b) the term “direct cooperative activities” means cooperative activities between the Parties or 
their agencies; 

(c) the term “indirect cooperative activities” means cooperative activities between persons of 
Japan  and  the  Community  carried  out  under  research  and  development  programmes  and 
projects; 

(d)  the  term  “research  and  development  programmes  and  projects”  means  the  Framework 
Programme  for  research  and  technological  development  operated  by  the  Community  or 
research  and  development  programmes  and  projects  with  the  competitive  funding  system 
operated by the Government of Japan, its agencies or official institutions; 

(e) the term “persons” means:  

(i) with respect to Japan, any nationals of Japan or any legal persons established under
the national laws of Japan; and  

(ii)  with  respect  to  the  Community,  any  nationals  of  the  Member  States  of  the
Community  or  any  legal  persons  established  under  the  national  laws  of  the  Member
States of the Community or the Community law; 

(f) the term “agencies” means: 

(i) with respect to Japan, the governmental agencies of Japan; and 

(ii) with respect to the Community, the European Commission;  

(g)  the  term  “official  institutions”  means  official  institutions  whose  budgets  and  operating 
plans  are  approved  by  the  competent  Ministers  of  the  Government  of  Japan,  and  whose 
research and development programmes and projects with the competitive funding system are 
included,  with  their  consent,  into  those  programmes  and  projects  for  indirect  cooperative 
activities;  

(h) the term "intellectual property rights" shall have the meaning given to "intellectual 
property" in Article 2 of the Convention Establishing the World Intellectual Property 
Organization, signed at Stockholm on July 14, 1967. 

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Article 3 

1. 

Forms of the direct cooperative activities may include the following: 

meetings  of  various  forms,  such  as  those  of  experts,  to  discuss  and  exchange 
(a) 
information  on  scientific  and  technological  aspects  of  general  or  specific  subjects  and  to 
identify research and development programmes and projects that may be usefully undertaken 
on a cooperative basis; 

exchange  of  information  on  activities,  policies,  practices,  and  laws  and  regulations 

(b) 
concerning research and development; 

visits and exchanges of scientists, technical personnel, or other experts on general or 

(c) 
specific subjects;  

implementation  of  any  other  forms  of  cooperative  activities  as  may  be  identified, 
(d) 
proposed  and  decided  at  the  Joint  Committee  on  Scientific  and  Technological  Cooperation 
referred to in Article 6 of this Agreement. 

For the purpose of developing indirect cooperative activities, any person of a Party can 
2. 
participate  in  research  and  development  programmes  and  projects,  operated  by  the  other 
Party, its agencies or official institutions, in accordance with the laws and regulations of the 
other Party, and subject to Annexes I and II of this Agreement. 

The details and procedures of each cooperative activity under this Agreement may be decided 
between the Parties, their agencies or official institutions engaged in that cooperative activity. 

Article 4 

Article 5 

With  regard  to  the  direct  cooperative  activities  under  this  Agreement,  each  Party  or  its 
agencies  may  allow,  as  appropriate,  with  the  consent  of  the  other  Party  or  its  agencies,  the 
participation  of  researchers  and  organisations  from  all  sectors  of  the  research  establishment 
including the private sector.  

Article 6 

For  the  purpose  of  effective  implementation  of  this  Agreement,  the  Parties  shall 
1. 
establish a Joint Committee on Scientific and Technological Cooperation (hereinafter referred 
to  as  "the  Joint  Committee").  The  Joint  Committee  shall  be  co-chaired  by  officials  of  the 
Ministry of Foreign Affairs of Japan and of the European Commission.  

2. 

The functions of the Joint Committee shall be: 

(a) 

exchanging information and views on scientific and technological policy issues; 

(b) 

identifying, proposing and deciding the cooperative activities under this Agreement; 

reviewing and discussing the accomplishments of the cooperative activities under this 

(c) 
Agreement; 

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providing advice and encouragement to the Parties with regard to the implementation 

(d) 
of this Agreement;  

(e) 
reviewing  regularly  the  reciprocal  access  to  research  and  development  programmes 
and  projects  and  arrangements  for  visiting  researchers  and  examining  concrete  measures  to 
improve that access and to ensure the effectiveness of the principle on reciprocity mentioned 
in Article 1 of this Agreement.  

3. 

4. 

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

The Joint Committee shall meet at mutually convenient times, preferably at least once
every two years. 

The  Government  of  Japan  and  the  Community  shall  host  alternately  the  Joint 

5. 
Committee meeting, unless otherwise agreed.  

6. 

For  the  Joint  Committee  meeting,  the  expenses for travel and accommodation of the
participants will be borne by the Party to whom they relate. Any other costs associated
with the Joint Committee meeting will be borne by the host Party. 

7. 

The Joint Committee will adopt its own internal rules of procedure. 

The Joint Committee may make decisions through diplomatic channels when it is not 

8. 
in session.  

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

Article 7 

Article 8 

1. 
Scientific  and  technological  information  of  a  non-proprietary  nature  resulting  from 
direct  cooperative  activities  may  be  made  available  to  the  public  by  either  Party  through 
customary  channels  and  in  accordance  with  the  normal  procedures  of  the  participating 
agencies. 

2. 
Intellectual property rights and undisclosed information resulting from, introduced in 
the  course  of,  or  obtained  through  the  cooperative  activities  under  this  Agreement  shall  be 
treated in accordance with the provisions of Annex II of this Agreement. 

Article 9 

Each  Party  shall  make  every  effort,  within  the  framework  of  its  laws  and  regulations,  to 
accord  to  the  persons,  carrying  out  the  cooperative  activities  under  this  Agreement,  all 
possible  facilities  with  a  view  to  facilitating  the  free  movement  and  stay  of  researchers 
participating in those cooperative activities and to facilitating the entry into and exit from its 
territory  of  materials,  data  or  equipment  intended  for  use  in  those  cooperative  activities.

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Article 10 

The  provisions  of  this  Agreement  shall  not  prejudice  rights  and  obligations  with  respect  to 
existing  and  future  agreements  for  cooperation  between  the  Parties  or  between  the 
Government of Japan and the Government of any Member State of the Community. 

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

Article 11 

Annexes I and II of this Agreement form an integral part of this Agreement. 

Article 12 

Article 13 

1. 
This  Agreement  shall  enter  into  force  on  the  date  on  which  the  Parties  exchange 
diplomatic notes informing each other that their respective internal procedures necessary for 
the entry into force of this Agreement have been completed.  

2. 
This  Agreement  shall  remain  in  force  for  five  years  and  shall  continue  in  force 
thereafter unless terminated by either Party at the end of the initial five-year period or at any 
time thereafter by giving to the other Party at least six months’ written advance notice of its 
intention to terminate this Agreement. 

3. 
The  termination  of  this  Agreement  shall  not  affect  carrying  out  of  the  cooperative 
activities  undertaken  under  this  Agreement  and  not  fully  executed  at  the  time  of  the 
termination  of  this  Agreement,  or  any  specific  rights  and  obligations  that  have  accrued  in 
compliance with Annex II of this Agreement. 

Each  Party  may  evaluate  the  impact  of  this  Agreement  and  activities  under  this 
4. 
Agreement every five years, and the Party which does so shall inform the other Party of the 
results  of  the  evaluation.  Each  Party  will  make  every  effort  to  facilitate  the  evaluation 
conducted by  the other Party. 

5. 
This Agreement may be amended by mutual consent of the Parties through diplomatic 
notes exchanged between them. Amendments shall enter into force under the same conditions 
as mentioned in paragraph 1 above, unless otherwise agreed.  

This Agreement and Annexes I and II of this Agreement are drawn up in two originals in each 
of  the  Japanese,  Bulgarian,  Czech,  Danish,  Dutch,  English,  Estonian,  Finnish,  French, 
German,  Greek,  Hungarian,  Italian,  Latvian,  Lithuanian,  Maltese,  Polish,  Portuguese, 
Romanian, Slovak, Slovenian, Spanish and Swedish languages with each of these texts being 
equally authentic. In case of divergence of interpretation, the Japanese and English texts shall 
texts. 
prevail 

language 

other 

over 

the 

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

DONE at ………….. This ……….day of …………… 

FOR  THE  GOVERNMENT  OF 
JAPAN: 

FOR 
THE 
COMMUNITY: 

EUROPEAN 

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ANNEX I 

Terms and Conditions for the Participation of Persons in Research and Development 
Programmes and Projects 

Where  within  the  framework  of  this  Agreement  a  Party,  its  agencies  or  official 
I. 
institutions conclude a contract with a person of the other Party for research and development 
programmes  and  projects,  the  other  Party  shall,  when  requested,  endeavour  to  provide  any 
reasonable  and  feasible  assistance  as  may  be  necessary  or  helpful  for  the  former  Party,  its 
agencies or official institutions to facilitate the smooth implementation of such contract. 

Persons  of  Japan  may  participate  in  the  Framework  Programme  for  research  and 
II. 
technological  development  operated  by  the  Community.  Such  participation  of  persons  of 
Japan  shall  be 
the  rules  for  participation,  dissemination  and 
implementation of the Framework Programme.  

in  accordance  with 

Persons of the Community may participate in research and development programmes 
III. 
and  projects  with  the  competitive  funding  system  operated  by  the  Government  of  Japan,  its 
agencies  or  official  institutions  in  scientific  and  technological  fields  similar  to  those  of  the 
Framework  Programme  for  research  and  technological  development.  Such  participation  of 
persons of the Community shall be in accordance with the laws and regulations of Japan and 
the  relevant  rules  for  participation,  dissemination  and  implementation  of  the  specific 
programme or project. 

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ANNEX II 

Intellectual Property Rights and Undisclosed Information 

I. INTELLECTUAL PROPERTY RIGHTS OF THE PARTIES IN DIRECT COOPERATIVE ACTIVITIES 

1. 

The  following  rules  shall  apply  to  intellectual  property  rights  resulting  from  direct
cooperative  activities,  except  copyright  and  related  rights  referred  to  in  paragraph  3
below: 

(a) 
The  intellectual  property  rights  shall  be  owned  by  the  Party  or  its  agencies  which 
generate the intellectual property. Where the intellectual property has been generated jointly, 
the  Parties  or  their  agencies  shall  consult  to  agree  upon  the  ownership  or  allocation  of  the 
intellectual property rights taking into account the respective share of the work of the Parties 
or their agencies.  

(b) 
The Party or its agencies owning the intellectual property rights shall grant a licence to 
use  such  rights  to  the  other  Party  or  its  agencies  for  carrying  out  any  direct  cooperative 
activity if this is needed to enable the other Party or its agencies to carry out their own work 
for  the  specific  project  under  this  Agreement.  In  case  of  patents  and  utility  models,  this 
licence  shall  be  granted  on  a  royalty-free  basis.  The  granting  of  a  licence  to  use  any 
intellectual  property  rights  under  this  sub-paragraph  shall  be  subject  to  the  applicable  laws 
and  regulations  of  each  Party,  and  the  conditions  to  be  agreed  upon  between  the  Parties  or 
their agencies prior to the start of the project.  

The Party or its agencies owning the intellectual property rights introduced in the course 
2. 
of direct cooperative activities shall grant a licence to use such rights to the other Party or its 
agencies for carrying out any direct cooperative activity if this is needed to enable the other 
Party or its agencies to carry out their own work for the specific project under this Agreement. 
The granting of a licence to use any intellectual property rights under this paragraph shall be 
subject to the applicable laws and regulations of each Party, and the conditions to be agreed 
upon between the Parties or their agencies prior to the start of the project. 

The  following  rules  shall  apply  to  copyright  and  related  rights  of  the  Parties  or  their 

3. 
agencies: 

(a)  Where  a  Party  or  its  agencies  publish  scientific  and  technical  data,  information  and 
results by means of journals, articles, reports, books, video tapes and digital storage devices, 
resulting from direct cooperative activities,  the Party will make its best efforts to obtain for 
the  other  Party  a  non-exclusive,  irrevocable  and  royalty-free  licence  in  all  countries  where 
copyright protection is available to translate, reproduce, adapt, transmit and publicly distribute 
such works. 

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

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II. UNDISCLOSED INFORMATION IN DIRECT COOPERATIVE ACTIVITIES  

The following rules shall apply to undisclosed information of the Parties or their agencies: 

1.  When communicating to the other Party or its agencies information necessary to carry 
out direct cooperative activities, each Party shall identify that information it wishes to remain 
undisclosed. 

2. 
The  Party  or  its  agencies  receiving  undisclosed  information  may,  under  its  own 
responsibility, communicate such undisclosed information to its agencies or persons within or 
employed by themselves if this is needed to enable those agencies or persons to carry out their 
own work for the specific project under this Agreement. 

3.  With  the  prior  written  consent  of  a  Party  or  its  agencies  providing  undisclosed 
information,  the  other  Party  or  its  agencies  may  disseminate  such  undisclosed  information 
more  widely  than  otherwise  permitted  in  paragraph  2  above.  The  Parties  or  their  agencies 
shall  cooperate  with  each  other  in  developing  procedures  for  requesting  and  obtaining  prior 
written  consent  for  such  wider  dissemination,  and  each  Party  will  grant  such  consent  to  the 
extent permitted by its laws and regulations.  

4. 
Information obtained through seminars, other meetings, assignment of staff and use of 
facilities arranged under this Agreement, shall remain confidential where the recipient of such 
undisclosed  or  other  confidential  or  privileged  information  was  made  aware  of  the 
confidential character of the information communicated at the time such communication was 
made  according  to  paragraph  1  above,  and  be  treated  as  indicated  in  paragraphs  2  and  3 
above.  

5. 
If  a  Party  becomes  aware  that  it  will  be,  or  may  be  reasonably  expected  to  become, 
unable  to  meet  the  restrictions  and  conditions  of  dissemination  in  paragraphs  2,  3  and  4 
above,  it  shall  immediately  inform  the  other  Party.  The  Parties  shall  thereafter  consult  to 
define an appropriate course of action. 

III. INTELLECTUAL PROPERTY RIGHTS OF PERSONS IN INDIRECT COOPERATIVE ACTIVITIES 

Each  Party  shall  ensure  that  the  intellectual  property  rights  of  persons  of  the  other  Party 
participating  in  research  and  development  programmes  and  projects  operated  by  the  former 
Party, its agencies or official institutions, and the related rights and obligations resulting from 
such  participation,  shall  be  consistent  with  the  relevant  international  conventions  which  are 
binding on the Government of Japan and the Community or all its Member States, including 
the Agreement on Trade-Related Aspects of Intellectual Property Rights in Annex 1C to the 
Marrakech Agreement Establishing the World Trade Organization, as well as the Paris Act of 
July 24, 1971 of the Berne Convention for the Protection of Literary and Artistic Works and 
the Stockholm Act of July 14, 1967 of the Paris Convention for the Protection of Industrial 
Property

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal for a Council decision concerning the conclusion of an Agreement between 
the  European  Community  and  the  Government  of  Japan  on  cooperation  in  science 
and technology. 

2. 

ABM / ABB FRAMEWORK 

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

3. 

BUDGET LINES 

3.1. 

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

Costs in connection with the implementation of the agreement (workshops, seminars, 
meetings,  videoconferences),  will  be  charged  to  the  administrative  budget  lines  for 
the  specific  programmes  of  the  Seventh  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 initially, and to be continued unless terminated by either Party 
at  the  end  of  this  initial  five  year  period,  or  any  time  thereafter,  as  laid  down  in 
Article 13 of the Agreement. 

3.3. 

Budgetary characteristics (add rows if necessary) : 

Budget line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

XX.01.05.03  Comp/ 

Non-
comp 

Diff4/ 
Non-
diff5 

NO 

YES 

YES 

 [1A] 

4 
5 

Differentiated appropriations 
Non-differentiated appropriations hereafter referred to as NDA 

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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. 

2009 

2010 

2011 

2012 

2013 

Expenditure type 

Operational expenditure6 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

Administrative expenditure within reference amount7 

n + 5 
and 
later 

Total 

& 
Technical 
administrative  assistance 
(NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

0.110  0.110 

0.110 

0.110 

0.110 

0.550 

Commitment 
Appropriations 

Payment 
Appropriations 

a+c  0.110  0.110 

0.110 

0.110 

0.110 

b+c  0.110  0.110 

0.110 

0.110 

0.110 

0.550 

0.550 

Administrative expenditure not included in reference amount8 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

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

costs, 

8.2.5 

d 

8.2.6 

e 

Total indicative financial cost of intervention  

TOTAL  CA 
cost 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

0.110  0.110 

0.110 

0.110 

0.110 

0.110  0.110 

0.110 

0.110 

0.110 

0.550 

0.550 

6 
7 
8 

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 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) 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

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

4.1.3.  Financial impact on Revenue 

X 

Proposal has no financial implications on revenue 

(cid:133) 

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

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

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]

10

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

9 
10 

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

4.2. 

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

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

number 
Total 
human resources 

of 

5. 

CHARACTERISTICS AND OBJECTIVES 

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

5.1. 

Need to be met in the short or long term 

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

5.2. 

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

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

5.3. 

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

This decision will allow both Japan and the European Community to derive mutual 
benefit from the scientific and technological 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, taking 
fully into account the provisions for IPR protection. 

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5.4.  Method of Implementation (indicative) 

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

ٱ Centralised Management 

ٱX 

Directly by the Commission 

ٱ 

ٱ 

ٱ 

ٱ 

Indirectly by delegation to: 

Executive Agencies 

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

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

ٱ Shared or decentralised management 

ٱ 

ٱ 

With Member states 

With Third countries 

ٱ Joint management with international organisations (please specify) 

Relevant 

comments:

11 

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

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6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The Commission services will regularly monitor all the actions carried out under the 
cooperation  agreement,  which  will  also  be  subject  to  a  regular  evaluation  by  the 
Community. The monitoring 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 made available by Japan to the Joint 
Committee provided for by the Agreement. 

6.2. 

Evaluation 

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

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  on  Scientific  and  Technological 
Cooperation referred to in Article 6 of the Agreement. The Commission, through an 
impact study entrusted to independent experts may evaluate the actions covered by 
this cooperation agreement before the end of the five year implementation period. 

7. 

ANTI-FRAUD MEASURES  

When the implementation of the Framework Programme calls for the use of external 
contractors  or  entails  granting  financial  contributions 
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. 

their  parties, 

to 

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

In addition, the Commission will make sure, in  carrying out the  research activities, 
that  the  financial  interests  of  the  European  Communities  are  protected  by  effective 
checks  and,  where  irregularities  are  detected,  by  deterrent  and  proportionate 
measures and penalties. In order to achieve this aim, rules on checks, measures and 
penalties, with reference to Regulations Nos. 2988/95, 2185/96 and 1073/99, will be 
incorporated  in  all  contracts  used  in  the  implementation  of  the  Framework 
Programme. 

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

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the introduction of specific contractual clauses to protect the financial interests 

- 
of the EC in carrying out checks and controls in relation to the work performed; 

the  participation  of  administrative  inspectors  in  the  field  of  fraud-fighting,  in 

- 
accordance with Regulations Nos. 2185/96 and 1073/99; 

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

the  fact  that  possible  recovery  orders  in  case  of  irregularities  and  fraud  be 

- 
enforceable according to Article 256 of the EC Treaty. 

In addition and as a routine measure, 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. 

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8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

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) 

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

OPERATIONAL 
OBJECTIVE 
12……… 

No.1 

Action 1……………. 

- Output 1 

- Output 2 

Action 2……………. 

- Output 1 

Sub-total Objective 1 

OPERATIONAL 
OBJECTIVE 
1……… 

No.2 

Action 1……………. 

- Output 1 

Sub-total Objective 2 

OPERATIONAL 
OBJECTIVE No.n 1 

Sub-total Objective n 

TOTAL COST 

12 

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) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

A*/AD 

B*, 
C*/AST 

Officials 
or 
temporary 
staff13 
(XX 01 
01) 

Staff  financed14  by 
art. XX 01 02 

staff15 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

Management  of  the  Agreement  will  entail  missions  and  attending  meetings  by  EU 
and Japanese 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 

X 
or 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 

(cid:133) 
(internal redeployment) 

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

(cid:133) 
year in question 

13 
14 
15 

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

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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) 

2009 

2010 

2011 

2012 

2013 

TOTAL 

Year n+5  

and later 

Technical 

and 
1 
assistance (including related staff costs) 

administrative 

 Executive agencies16 

Other 

technical 

and 

administrative 

0.110 

0.110  0.110  0.110  0.110 

0.550 

assistance 

 - intra muros  

- extra muros 

Total  Technical  and  administrative 
assistance 

0.110 

0.110  0.110  0.110  0.110 

0.550 

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

amount 

Type of human resources 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4 

Year n+5 

and later 

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) 

Calculation – Officials and Temporary agents 

(122.000 € per year for officials) 

16 

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) 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n 

Year 
n+5 

and 
later 

TOTAL 

 XX 01 02 11 01 – Missions 

 XX 01 02 11 02 – Meetings & Conferences 

 XX 01 02 11 03 – Committees17  

 XX 01 02 11 04 – Studies & consultations 

 XX 01 02 11 05 - Information systems 

 2Total Other Management Expenditure 

(XX 01 02 11) 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

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

Calculation - Other administrative expenditure not included in reference amount 

17 

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

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