Cooperation Agreement between the European Atomic Energy Community and the Republic of Kazakhstan in the field of nuclear safety

Article 1 (b) R a di a t i on p r ot e c ti o n Research, regulatory aspects, development of safety stan- Cooperation under this Agreement shall be for peaceful dards, public information, training and education. Particular purposes only and shall, on the basis of mutual benefit, contri- attention shall be paid to the study of low-dose effects and bute to the improvement of nuclear safety, including the defini- of remedying contaminated areas, to industrial and medical tion and application of scientifically warranted and internation- exposure and post-accident management. ally accepted nuclear safety guidelines. (c) Nuc le a r w aste manag e me nt

Article 2 Assessment and optimisation of geological disposal, scien- tific aspects of the management of long life waste and stra- tegies concerning site recovery. The Parties shall endeavour to promote cooperation in the following areas. (d) De c ommi ssi o ni ng , de c o nta mi n a ti o n a nd (a) R e a c t or sa f e t y r e s e a r c h d i s m a n t li n g of nu c l e a r i n st a ll a t i ons Review and analysis of safety issues; identification of appro- priate techniques to improve reactor safety, inter alia, on Strategies for decommissioning, decontamination, and the basis of research and development and evaluation dismantling nuclear installations, in particular radiological studies on nuclear reactors in operation and planned. aspects. L 89/38 EN Official Journal of the European Union 26.3.2004 (e) R e se a r ch a n d de ve lop me nt on sa fe g u a r ds of 2. Cooperation under this Agreement shall be in accordance nu cle a r mater i a l with the laws and regulations in force as well as with the inter- Development and evaluation of nuclear material measure- national agreements entered into by the Parties. ment techniques and characterisation of reference materials for safeguard activities and development of the systems of 3. Each Party shall use its best endeavours, within the frame- accounting for and control of nuclear materials. work of the laws and regulations applicable, to facilitate the accomplishment of formalities involved in the movement of (f) Pr e ve nti on of i lli c i t tr a ffi c ki ng of nu c le a r ma t e - persons, the transfer of materials and equipment and the rial transfer of currency required to conduct the cooperation. Cooperation shall relate to the promotion of methods and techniques of control of nuclear material. 4. Compensation for damages incurred during the imple- mentation of this Agreement shall be in accordance with the laws and regulations applicable.

Article 3 1. Cooperation shall be implemented in particular through: Article 6 — exchange of technical information by means of reports, visits, seminars, technical meetings, etc., Utilisation and diffusion of information and intellectual prop- erty rights including industrial property, patents and copyrights — exchange of personnel including for training purposes connected with the cooperation activities under this Agreement between laboratories and/or bodies involved on both sides; shall be in accordance with the Annexes, which form an inte- this cooperation may also take place between persons and gral part of this Agreement. undertakings established in the respective territories of the Parties, — exchange of samples, materials, instruments and apparatus Article 7 for experimental purposes, Subject to the laws and regulations applicable, the Parties shall — balanced participation in joint studies and activities. endeavour to settle all questions connected with this Agree- ment through consultations between themselves. 2. To the extent necessary, implementing arrangements to set out the scope, terms and conditions to implement specific cooperation activities, may be entered into by the Parties and/ or by bodies which either Party may eventually entrust with Article 8 the aforementioned activities. 1. A Coordinating Committee consisting of members Such implementing arrangements may, inter alia, cover finan- appointed in equal numbers by the two Parties shall be estab- cing provisions, assignment of management responsibilities and lished to supervise the implementation of this Agreement. detailed provisions on dissemination of information and intel- lectual property rights. 2. The Coordinating Committee shall meet as needed, alter- nately in the Community and in Kazakhstan, for regular 3. In order to minimise duplication of efforts, the Parties sessions in order to: shall coordinate their activities under this Agreement with other international activities related to nuclear safety in which — review and assess the cooperation under this Agreement they are participants. and prepare annual reports thereon, — determine by mutual agreement the specific tasks to be

Article 4 undertaken under this Agreement, without prejudice to the taking of autonomous decisions by the Parties on their respective programmes. 1. Each Party's obligations under this Agreement shall be subject to the availability of the required funds. 3. If mutually agreeable, extraordinary sessions may be held 2. All costs resulting from cooperation shall be borne by the for dealing with particular topics, or in particular circum- Party that incurs them. stances. 3. The financing of industrial activities shall be excluded from the scope of this Agreement. Article 9 1. This Agreement shall enter into force on the date which

Article 5 the Parties, by an exchange of diplomatic notes, specify for its entry into force and shall remain in force for an initial period 1. Insofar as the Community is concerned, this Agreement of 10 years (1). shall apply to the territories in which the Treaty establishing the European Atomic Energy Community applies. (1) This Agreement entered into force on 1 June 2003. 26.3.2004 EN Official Journal of the European Union L 89/39 2. Thereafter, this Agreement shall be automatically renewed 4. Termination of this Agreement shall not affect rights and for five-year periods, unless either Party, by written notice, obligations under Article 6. requests its termination or renegotiation not later than six months prior to the expiry date. 3. In the event of termination or renegotiation, this Agree-

Article 10 ment shall remain in force in its previous form with respect to cooperation activities effectively entered into prior to the request for termination or renegotiation until the end of such This Agreement shall be drawn up in duplicate in the Danish, activities and related implementing arrangements or for one Dutch, English, Finnish, French, German, Greek, Italian, Portu- calendar year after the expiry of this Agreement in its previous guese, Spanish, Swedish, Russian and Kazakh languages, each form, whichever is the earlier. text being equally authentic. Hecho en Bruselas, el diecinueve de julio de mil novecientos noventa y nueve. Udfærdiget i Bruxelles, den nittende juli nitten hundrede og nioghalvfems. Geschehen zu Brüssel am neunzehnten Juli neunzehnhundertneunundneunzig. Έγινε στις Βρυξέλλες, στις δεκαεννέα Ιουλίου χίλια εννιακόσια ενενήντα εννέα. Done at Brussels on the nineteenth day of July in the year one thousand nine hundred and ninety-nine. Fait à Bruxelles, le dix-neuf juillet mil neuf cent quatre-vingt-dix-neuf. Fatto a Bruxelles, addì diciannove luglio millenovecentonovantanove. Gedaan te Brussel, de negentiende juli negentienhonderdnegenennegentig. Feito em Bruxelas, em dezanove de Julho de mil novecentos e noventa e nove. Tehty Brysselissä yhdeksäntenätoista päivänä heinäkuuta vuonna tuhatyhdeksänsataayhdeksänkymmentäyh- deksän. Utfärdat i Bryssel den nittonde juli nittonhundranittionio. CosepweHo B ropo11e .6p10cceni:. 19 HIOJUI 1999 rolla. 1999 )KbJJlllbJH, 19 WiJl.lle ac-vd liplOCCeJib 'lyl~'laCbIH.!la xcacaJI~aH. L 89/40 EN Official Journal of the European Union 26.3.2004 Por la Comunidad Europea de la Energía Atómica For Det Europæiske Atomenergifællesskab Für die Europäische Atomgemeinschaft Για την Ευρωπαϊκή Κοινότητα Ατοµικής Ενέργειας For the European Atomic Energy Community Pour la Communauté européenne de l'Énergie atomique Per la Comunità europea dell'energia atomica Voor de Europese Gemeenschap voor Atoomenergie Pela Comunidade Europeia da Energia Atómica Euroopan atomienergiayhteisön puolesta På Europeiska atomenergigemenskapens vägnar AroM 3Hepnm:c1,1 xem.a:ucri Eyporra l(.ayt,IMZlacn.IFl,l yruiH 3a EaponeY!CKOe Co061.1..leCTSO rio ATOMHOIA 3Heprl-\L-1 Por la República de Kazajistán For Republikken Kasakhstan Für die Republik Kasachstan Για τη ∆ηµοκρατία του Καζακστάν For the Republic of Kazakhstan Pour la République du Kazakhstan Per la Repubblica del Kazakistan Voor de Republiek Kazachstan Pela República do Cazaquistão Kazakstanin tasavallan puolesta På Republiken Kazakstans vägnar KpaKcTaH Pecny6ms!Q\cI.I \'llliB 3a Pecny6m1i<y KaaaxcraH Wl 26.3.2004 EN Official Journal of the European Union L 89/41

ANNEX I GUIDING PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS (*) RESULTING FROM JOINT RESEARCH UNDER THE COOPERATION AGREEMENT IN THE FIELD OF NUCLEAR SAFETY I. OWNERSHIP, ALLOCATION AND EXERCISE OF RIGHTS 1. All research carried out pursuant to this Agreement shall be ‘joint research’. The participants shall jointly develop joint technology management plans (TMPs) (**) in respect of the ownership and use, including publication, of information and Intellectual Property (IP) to be created in the course of joint research. Those plans shall be approved by the Parties before the conclusion of any specific R & D cooperation contracts to which they refer. The TMPs shall be developed taking into account the aims of the joint research, the relative contributions of the participants, the advantages and disadvantages of licensing by territory or for fields of use, requirements imposed by laws applicable and other factors deemed appropriate by the participants. The rights and obligations concerning the research generated by visiting researchers in respect of IP shall also be addressed in the joint tech- nology management plans. 2. Information or IP created in the course of joint research and not addressed in the technology management plan shall be allocated, with the approval of the Parties, according to the principles set out in the technology manage- ment plan. In case of disagreement, 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. 3. Each Party shall ensure that the other Party and its participants may have the rights to IP allocated to them in accordance with these principles. 4. While maintaining the conditions of competition in areas affected by the Agreement, each Party shall endeavour to ensure that rights acquired pursuant to this Agreement are exercised in such a way as to encourage in particu- lar: (i) the dissemination and use of information created, disclosed, or otherwise made available, under the Agree- ment; (ii) the adoption and implementation of international standards. II. COPYRIGHT WORKS Copyright belonging to the Parties or to their participants shall be accorded treatment consistent with the Berne Convention (1971 Paris Act). III. SCIENTIFIC LITERARY WORKS Without prejudice to section IV, unless otherwise agreed in the TMP, publication of results of research shall be made jointly by the Parties or participants to that joint research. Subject to the foregoing general rule, the following proce- dures 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 joint research pursuant to this Agreement, the other Party shall be entitled to a worldwide, non-exclusive, irrevocable, royalty-free licence to translate, reproduce, adapt, transmit and publicly distribute such works. 2. The Parties shall ensure that literary works of a scientific character arising from joint research pursuant to this Agreement and published by independent publishers shall be disseminated as widely as possible. 3. 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 or authors expressly declines or decline to be named. They shall also bear a clearly visible acknowledgement of the cooperative support of the Parties. (*) Definitions of the concepts referred to in these guiding principles are set out in Annex II. (**) The indicative features of such TMPs are set out in Annex III. L 89/42 EN Official Journal of the European Union 26.3.2004 IV. UNDISCLOSED INFORMATION A. Documentary undisclosed information 1. Each Party or its participants, as appropriate, shall identify at the earliest possible moment, and preferably in the technology management plan, the information that it wishes to remain undisclosed in relation to this Agreement, taking account, inter alia, of the following criteria: — secrecy of the information in the sense that the information is not, as a body or in the precise configura- tion or assembly of its components, generally known among or readily accessible by lawful means to experts in the field, — 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 the 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. Each Party shall ensure that undisclosed information under this Agreement and its ensuing privileged nature is readily recognisable as such by the other Party, for example by means of an appropriate marking or restric- tive 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 shall respect the privileged nature thereof. These limitations shall automatically terminate when this information is disclosed by the owner without restriction to experts in the field. 3. 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 in the receiving Party authorised for the specific purposes of the joint research under way, provided that any undi- sclosed information so disseminated shall be pursuant to an 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 more widely than otherwise permitted in para- graph 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 or privileged 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 principle specified for docu- mentary information in the Agreement, provided, however, that the recipient of such undisclosed or other confi- dential or privileged information has been made aware of the confidential character of the information commu- nicated at the time such communication is made. C. Control Each Party shall endeavour to ensure that undisclosed information received by it under this Agreement shall be controlled as provided therein. If one of the Parties becomes aware that it will be, or may reasonably be expected to become, unable to meet the non-dissemination provisions of paragraphs A and B, it shall immediately inform the other Party. The Parties shall thereafter consult to define an appropriate course of action. 26.3.2004 EN Official Journal of the European Union L 89/43

ANNEX II DEFINITIONS 1. INTELLECTUAL PROPERTY: shall have the meaning found in Article 2 of the Convention establishing the World Intellectual Property Organisation, done at Stockholm on 14 July 1967. 2. PARTICIPANT: any natural or legal person, including the Parties themselves, participating in a project under this Agreement. 3. JOINT RESEARCH: research implemented and/or funded by the joint contributions of the Parties and with collabora- tion from participants of both Parties, where appropriate. 4. INFORMATION: scientific or technical date, results or methods of research and development stemming from the JOINT RESEARCH and any other information deemed necessary by the Parties and/or participants engaged in the JOINT RESEARCH to be provided or exchanged under this Agreement or research pursuant thereto.

ANNEX III INDICATIVE FEATURES OF A TECHNOLOGY MANAGEMENT PLAN (TMP) The TMP is a specific agreement to be concluded between the participants, about the implementation of joint research and the respective rights and obligations of the participants. With respect to IP, the TMP will normally address, inter alia: ownership, protection, user rights for R & D purposes, exploitation and dissemination, including arrangements for joint publication, the rights and obligations of visiting researchers and dispute settlement procedures. The TMP may also address foreground and background information, licensing and deliverables.