TEXT: U.S.-RUSSIAN AGREEMENT ON MANAGEMENT OF USED PLUTONIUM
AGREEMENT BETWEEN THE GOVERNMENT OF THE UNITED STATES OF
AMERICA AND THE GOVERNMENT OF THE RUSSIAN FEDERATION ON SCIENTIFIC
AND TECHNICAL COOPERATION IN THE MANAGEMENT OF PLUTONIUM THAT
HAS BEEN WITHDRAWN FROM NUCLEAR MILITARY PROGRAMS
The Government of the United States of America and the Government of the Russian
Federation, hereafter referred to as the Parties,
Taking into account:
(a) The January 14, 1994, Declaration of the Presidents of the United States and the Russian
Federation on "Non-proliferation of Weapons of Mass Destruction and the Means of Their
Delivery";
(b) The Declaration of the April 19-20, 1996, Summit on Nuclear Safety and Security in
Moscow;
(c) The Conclusions of the International Meeting of Experts in Paris, on October 28-31,
1996, concerning the safe and efficient management of fissile materials designated as no longer
required for defense purposes;
(d) The statement regarding fissile materials in the June 22, 1997, Final Communique of the
Denver Summit of the Eight;
(e) The statement of the President of the United States on March 1, 1995, that 200 tons of
fissile material will be withdrawn from the U.S. nuclear stockpile and directing that these
materials will never again be used to build a nuclear weapon; and
(f) The message of the President of the Russian Federation to the participants of the 41st
General Conference of the IAEA, September 26, 1997, on step-by-step removal from nuclear
defense programs of up to 500 tonnes of highly enriched uranium and up to 50 tonnes of
plutonium released in the process of nuclear disarmament;
Have agreed as follows:
ARTICLE 1
THE PURPOSES OF THIS AGREEMENT ARE TO:
A) PROVIDE THE SCIENTIFIC AND TECHNICAL BASIS FOR DECISIONS ON HOW
PLUTONIUM, SUBJECT TO THIS AGREEMENT, SHALL BE MANAGED; AND
B) ESTABLISH A FRAMEWORK FOR CONTINUED AND EXPANDED SCIENTIFIC
AND TECHNICAL COOPERATION FOR THE ACCOMPLISHMENT OF THE OBJECTIVE
IN PARAGRAPH A.
ARTICLE 2
FOR PURPOSES OF THIS AGREEMENT:
1. "Plutonium" means plutonium that has been withdrawn from nuclear military programs
and is no longer required for defense purposes.
2. "Management of plutonium" means the transformation of plutonium into spent fuel or
other forms equally unusable for nuclear weapons or other nuclear explosive devices, and may
include conversion of plutonium and its manufacture into MOX fuel, use of MOX fuel in nuclear
reactors, and immobilization of plutonium in various forms.
ARTICLE 3
1. THE PARTIES SHALL:
A) CONTINUE TO COOPERATE WITH SMALL-SCALE TESTS AND
DEMONSTRATIONS RELATING TO MANAGEMENT OF PLUTONIUM; AND
B) AS SOON AS IS PRACTICABLE, ALSO PROCEED TO PILOT-SCALE
DEMONSTRATIONS OF TECHNOLOGIES FOR PLUTONIUM MANAGEMENT.
2. THE PRINCIPAL SUBJECT AREAS FOR THE PARTIES' COOPERATIVE EFFORTS
SHALL BE:
A) CONVERSION OF METALLIC PLUTONIUM INTO OXIDE SUITABLE FOR THE
MANUFACTURE OF MOX FUEL FOR NUCLEAR POWER REACTORS OF VARIOUS
TYPES;
b) Stabilization of unstable forms of plutonium;
c) Use of plutonium in the form of MOX fuel in various types of nuclear power reactors;
d) Immobilization of plutonium, including wastes and hard-to-process forms; and
e) Disposal of immobilized forms of materials containing plutonium in deep geological
formations.
ARTICLE 4
1. THE PARTIES SHALL DESIGNATE EXECUTIVE AGENTS TO CARRY OUT THE
PROVISIONS OF THIS AGREEMENT. THE EXECUTIVE AGENT FOR THE UNITED
STATES OF AMERICA SHALL BE THE U.S. DEPARTMENT OF ENERGY AND THE
EXECUTIVE AGENT FOR THE RUSSIAN FEDERATION SHALL BE THE RUSSIAN
MINISTRY FOR ATOMIC ENERGY.
2. THE PARTIES SHALL HAVE THE RIGHT, CONSISTENT WITH THEIR
RESPECTIVE LAWS AND REGULATIONS, AND FOLLOWING WRITTEN
NOTIFICATION TO THE OTHER PARTY, TO OBTAIN PARTICIPATION, AS
NECESSARY, IN THE IMPLEMENTATION OF THIS AGREEMENT, BY OTHER
AGENCIES, DEPARTMENTS, AND UNITS OF THEIR RESPECTIVE GOVERNMENTS.
3. TO ACCOMPLISH THE OBJECTIVES OF THIS AGREEMENT, THE PARTIES
SHALL ESTABLISH A U.S.-RUSSIAN JOINT STEERING COMMITTEE ON PLUTONIUM
MANAGEMENT, WHICH SHALL COORDINATE AND AGREE UPON WORK
UNDERTAKEN UNDER THIS AGREEMENT. EACH PARTY SHALL DESIGNATE ITS
MEMBERS ON THE JOINT STEERING COMMITTEE. DECISIONS OF THE JOINT
STEERING COMMITTEE SHALL BE TAKEN BY CONSENSUS.
4. THE TASKS OF THE JOINT STEERING COMMITTEE SHALL INCLUDE:
A) DEVELOPMENT OF OVERALL WORK PROGRAMS AND AREAS OF
COOPERATION WITHIN THE SCOPE OF THIS AGREEMENT;
B) PRIORITIZATION, COORDINATION, REVIEW AND APPROVAL OF THE
COOPERATIVE PROJECTS UNDER THIS AGREEMENT WITHIN THE RESOURCES
MADE AVAILABLE BY THE PARTIES;
C) RESOLUTION OF ANY DISPUTES THAT MAY ARISE WITH RESPECT TO THE
SCIENTIFIC AND TECHNICAL WORK PERFORMED UNDER THIS AGREEMENT; AND
D) SUCH OTHER MATTERS, AS THE PARTIES MAY AGREE, THAT ARE WITHIN
THE SCOPE OF THIS AGREEMENT.
5. WHEN AGREEMENT IS REACHED ON THE PERFORMANCE OF JOINT
RESEARCH, PROJECTS, OR EXPERIMENTS UNDER THIS AGREEMENT, DETAILED
PROCEDURES FOR PERFORMING THE ACTIVITIES INVOLVED SHALL BE
OFFICIALLY DRAWN UP IN THE FORM OF IMPLEMENTING ARRANGEMENTS, TO BE
REVIEWED AND APPROVED BY THE JOINT STEERING COMMITTEE.
ARTICLE 5
COOPERATION BETWEEN THE PARTIES WITHIN THE FRAMEWORK OF THIS
AGREEMENT MAY INCLUDE THE FOLLOWING:
A) SHARING OF SCIENTIFIC AND TECHNICAL INFORMATION;
B) DEVELOPMENT OF CONCEPTUAL APPROACHES;
C) RESEARCH, EXPERIMENTS AND SMALL-SCALE DEMONSTRATIONS OF
TECHNOLOGICAL SOLUTIONS;
D) DESIGN, CONSTRUCTION, AND OPERATION OF PILOT-SCALE FACILITIES
FOR DEMONSTRATING AND TESTING TECHNOLOGICAL SOLUTIONS OBTAINED AS
A RESULT OF RESEARCH;
E) TRANSFER OF EQUIPMENT AND NON-NUCLEAR MATERIALS;
F) MEETINGS, SEMINARS, CONFERENCES, PERSONNEL ASSIGNMENTS, AND
WORKSHOPS FOR THE SHARING OF INFORMATION;
G) FEASIBILITY STUDIES; AND
H) SUCH OTHER FORMS OF COOPERATION WITHIN THE SCOPE OF THIS
AGREEMENT AS THE EXECUTIVE AGENTS MAY AGREE UPON IN WRITING.
ARTICLE 6
1. IN THE IMPLEMENTATION OF THIS AGREEMENT, ONLY UNCLASSIFIED
INFORMATION SHALL BE EXCHANGED.
2. IN ORDER TO PREVENT ACCESS TO IT BY PEOPLE AND ORGANIZATIONS NOT
PARTICIPATING IN THE IMPLEMENTATION OF THIS AGREEMENT, INFORMATION
PROVIDED BY THE PARTIES PURSUANT TO, OR PRODUCED AS A RESULT OF, THIS
AGREEMENT WHICH IS CONSIDERED SENSITIVE BY THE PARTIES IS TO BE HELD
IN CONFIDENCE AND MUST BE CLEARLY DESIGNATED AND MARKED. THE PARTY
TRANSMITTING THE INFORMATION WILL DESIGNATE INFORMATION AS
SENSITIVE IN ACCORDANCE WITH ITS INTERNAL LAWS AND REGULATIONS. THE
PARTY RECEIVING THIS INFORMATION SHALL ASSIGN IT A DESIGNATION THAT
PROVIDES A DEGREE OF PROTECTION AT LEAST EQUIVALENT TO THAT
REQUIRED BY THE PARTY THAT FURNISHED THE INFORMATION.
3. SENSITIVE INFORMATION SHALL BE HANDLED IN ACCORDANCE WITH THE
LAWS AND REGULATIONS OF THE PARTY RECEIVING THE INFORMATION, AND
SHALL NOT BE DISCLOSED OR TRANSMITTED TO A THIRD PARTY NOT
PARTICIPATING IN IMPLEMENTATION OF THIS AGREEMENT WITHOUT THE
WRITTEN CONSENT OF THE PARTY TRANSMITTING THE INFORMATION.
ACCORDING TO THE REGULATIONS OF THE UNITED STATES, SUCH INFORMATION
SHALL BE TREATED AS FOREIGN GOVERNMENT INFORMATION PROVIDED IN
CONFIDENCE AND SHALL BE PROTECTED APPROPRIATELY. ACCORDING TO THE
NORMS AND REGULATIONS OF THE RUSSIAN FEDERATION, SUCH INFORMATION
SHALL BE TREATED AS OFFICIAL INFORMATION WITH LIMITED DISTRIBUTION
AND SHALL BE PROTECTED APPROPRIATELY.
4. THE PARTIES SHALL ASSURE EFFECTIVE PROTECTION AND ALLOCATION OF
RIGHTS TO INTELLECTUAL PROPERTY TRANSMITTED OR CREATED UNDER THIS
AGREEMENT, AS SET FORTH IN THIS ARTICLE AND IN THE ANNEX TO THIS
AGREEMENT, WHICH FORMS AN INTEGRAL PART OF THIS AGREEMENT.
5. INFORMATION TRANSMITTED UNDER THIS AGREEMENT MUST BE USED
SOLELY IN ACCORDANCE WITH THIS AGREEMENT.
6. THE NUMBER OF PEOPLE HAVING ACCESS TO SENSITIVE INFORMATION
MUST BE LIMITED TO THE NUMBER NECESSARY TO IMPLEMENT THIS
AGREEMENT AND OTHER PROGRAMS ASSOCIATED WITH THIS AGREEMENT, AND
SHALL BE DETERMINED BY THE PARTIES' EXECUTIVE AGENTS.
ARTICLE 7
1. MATERIALS, EQUIPMENT AND TECHNOLOGIES, TRANSFERRED UNDER THE
TERMS OF THIS AGREEMENT, SHALL NOT BE USED FOR THE PRODUCTION OF
NUCLEAR WEAPONS, ANY NUCLEAR EXPLOSIVE DEVICES, OR FOR RESEARCH OR
DEVELOPMENT OF SUCH DEVICES OR FOR THE FURTHERANCE OF ANY MILITARY
PURPOSE.
2. MATERIALS, EQUIPMENT AND TECHNOLOGIES, TRANSFERRED UNDER THE
TERMS OF THIS AGREEMENT, SHALL NOT BE EXPORTED, RE-EXPORTED, OR
TRANSFERRED FROM THE JURISDICTION OF THE RECIPIENT WITHOUT THE
WRITTEN CONSENT OF THE PARTIES.
3. PRIOR TO THE EXPORT UNDER THE TERMS OF THIS AGREEMENT TO A
THIRD PARTY OF ANY EQUIPMENT, MATERIALS OR TECHNOLOGIES, THE PARTIES
BY MUTUAL AGREEMENT IN WRITING SHALL DEFINE THE CONDITIONS IN
ACCORDANCE WITH WHICH SUCH ITEMS SHALL BE EXPORTED, RE-EXPORTED,
OR TRANSFERRED FROM THE JURISDICTION OF THE THIRD PARTY.
4. THE PARTIES' EXECUTIVE AGENTS SHALL TAKE ALL MEASURES
NECESSARY TO ENSURE ADEQUATE PHYSICAL PROTECTION OF NUCLEAR
MATERIALS, EQUIPMENT, INSTALLATIONS, AND NUCLEAR TECHNOLOGIES IN ITS
JURISDICTION, AND SHALL APPLY CRITERIA AND LEVELS OF PHYSICAL
PROTECTION NOT LOWER THAN THOSE IDENTIFIED IN THE CONVENTION ON THE
PHYSICAL PROTECTION OF NUCLEAR MATERIAL AND IN RECOMMENDATIONS OF
THE IAEA.
ARTICLE 8
EQUIPMENT, SUPPLIES, MATERIALS, SERVICES AND ACTIVITIES PROVIDED OR
ACQUIRED BY THE UNITED STATES OF AMERICA, ITS CONTRACTORS,
SUBCONTRACTORS, AND THEIR PERSONNEL FOR THE IMPLEMENTATION OF THIS
AGREEMENT ARE FREE TECHNICAL ASSISTANCE AND ARE THUS EXEMPT FROM
CUSTOMS DUTIES AND TAXES. THE RUSSIAN FEDERATION SHALL TAKE ALL
NECESSARY MEASURES TO EXEMPT THIS EQUIPMENT, SHIPMENTS, MATERIALS,
SERVICES, AND WORK FROM ALL TAXES, TARIFFS, CUSTOMS DUTIES, AND
LEVIES OF THE RUSSIAN FEDERATION AND ITS INSTRUMENTALITIES.
ARTICLE 9
1. WITH THE EXCEPTION OF CLAIMS FOR DAMAGE OR INJURY AGAINST
INDIVIDUALS ARISING FROM THEIR PREMEDITATED ACTIONS, THE
GOVERNMENT OF THE RUSSIAN FEDERATION SHALL BRING NO CLAIMS OR
OTHER LEGAL PROCEEDINGS AGAINST THE GOVERNMENT OF THE UNITED
STATES OF AMERICA AND ITS PERSONNEL OR ITS CONTRACTORS,
SUB-CONTRACTORS, CONSULTANTS, SUPPLIERS OR SUBSUPPLIERS OF
EQUIPMENT OR SERVICES AT ANY TIER AND THEIR PERSONNEL, IN ANY COURT
OR FORUM, FOR ANY DAMAGE, INCLUDING INDIRECT, DIRECT OR
CONSEQUENTIAL DAMAGE, ARISING FROM ACTIVITIES UNDERTAKEN PURSUANT
TO THIS AGREEMENT, TO PROPERTY OWNED BY THE RUSSIAN FEDERATION. THIS
PARAGRAPH SHALL NOT APPLY TO LEGAL ACTIONS BROUGHT BY THE
GOVERNMENT OF THE RUSSIAN FEDERATION TO ENFORCE THE PROVISIONS OF
CONTRACTS TO WHICH IT OR A RUSSIAN NATIONAL OR OTHER LEGAL ENTITY IS
A PARTY.
2. WITH THE EXCEPTION OF CLAIMS FOR DAMAGE OR INJURY AGAINST
INDIVIDUALS ARISING FROM THEIR PREMEDITATED ACTIONS, THE
GOVERNMENT OF THE RUSSIAN FEDERATION SHALL PROVIDE FOR THE
ADEQUATE DEFENSE OF, SHALL INDEMNIFY, AND SHALL BRING NO CLAIMS OR
OTHER LEGAL PROCEEDINGS AGAINST, THE GOVERNMENT OF THE UNITED
STATES OF AMERICA AND ITS PERSONNEL OR ITS CONTRACTORS,
SUB-CONTRACTORS, CONSULTANTS, SUPPLIERS OR SUBSUPPLIERS OF
EQUIPMENT OR SERVICES AT ANY TIER AND THEIR PERSONNEL, IN CONNECTION
WITH THIRD-PARTY CLAIMS, IN ANY COURT OR FORUM, FOR ANY INJURY OR
DAMAGE, INCLUDING INDIRECT, DIRECT, OR CONSEQUENTIAL INJURY OR
DAMAGE, ARISING FROM ACTIVITIES UNDERTAKEN PURSUANT TO THIS
AGREEMENT, OCCURRING WITHIN OR OUTSIDE THE TERRITORY OF THE RUSSIAN
FEDERATION. NOTHING IN THIS PARAGRAPH SHALL BE CONSTRUED AS
ACKNOWLEDGING THE JURISDICTION OF ANY COURT OR FORUM OVER
THIRD-PARTY CLAIMS TO WHICH THIS PARAGRAPH APPLIES, NOR SHALL IT BE
CONSTRUED AS WAIVING THE SOVEREIGN IMMUNITY OF EITHER PARTY WITH
RESPECT TO THIRD-PARTY CLAIMS THAT MAY BE BROUGHT AGAINST IT.
3. THE PARTIES MAY, AS NECESSARY, CONDUCT CONSULTATIONS
REGARDING CLAIMS AND LEGAL PROCEEDINGS CONCERNING THIS ARTICLE.
4. THE PROVISIONS OF THIS ARTICLE SHALL NOT PREVENT THE PARTIES
FROM PROVIDING COMPENSATION IN ACCORDANCE WITH THEIR NATIONAL
LAWS.
5. NOTHING IN THIS ARTICLE SHALL BE INTERPRETED TO PREVENT LEGAL
PROCEEDINGS OR CLAIMS AGAINST NATIONALS OF THE RUSSIAN FEDERATION
OR PERMANENT RESIDENTS OF THE RUSSIAN FEDERATION.
ARTICLE 10
1. JOINT ACTIVITIES UNDER THIS AGREEMENT SHALL BE SUPPORTED BY
FUNDS AND IN-KIND CONTRIBUTIONS OF EQUIPMENT, MATERIAL, AND LABOR
PROVIDED ON A NON-REIMBURSABLE BASIS FOR THESE PURPOSES BY THE
UNITED STATES OF AMERICA AND THE RUSSIAN FEDERATION. JOINT ACTIVITIES
MAY ALSO BE SUPPORTED, IN WHOLE OR IN PART, FROM FUNDS DIRECTLY FROM
OTHER SOURCES, INCLUDING NON-GOVERNMENT FUNDS AND FUNDS FROM THE
PRIVATE SECTOR.
2. IN ALL CASES, THE ACTIVITIES OF, AND FINANCIAL SUPPORT PROVIDED BY,
THE UNITED STATES OF AMERICA UNDER THIS AGREEMENT ARE SUBJECT TO
THE AVAILABILITY OF APPROPRIATED FUNDS. IN ALL CASES, THE ACTIVITIES OF,
AND FINANCIAL SUPPORT PROVIDED BY, THE RUSSIAN FEDERATION UNDER THIS
AGREEMENT ARE SUBJECT TO THE AVAILABILITY OF APPROPRIATED FUNDS.
ARTICLE 11
IN THE EVENT THAT A PARTY AWARDS CONTRACTS FOR THE ACQUISITION
OF ARTICLES AND SERVICES, INCLUDING CONSTRUCTION, TO IMPLEMENT THIS
AGREEMENT, SUCH CONTRACTS SHALL BE AWARDED IN ACCORDANCE WITH
THE LAWS AND REGULATIONS OF THAT PARTY.
ARTICLE 12
1. REPRESENTATIVES OF THE U.S. DEPARTMENT OF ENERGY SHALL HAVE THE
RIGHT UPON REASONABLE NOTICE TO EXAMINE AND AUDIT THE USE OF ANY
SUPPORT OR ASSISTANCE PROVIDED BY THE U.S. GOVERNMENT IN CONNECTION
WITH COOPERATION UNDER THIS AGREEMENT DURING THE LIFE OF THIS
AGREEMENT AND FOR THREE YEARS THEREAFTER. SUCH EXAMINATIONS MAY
BE CONDUCTED AT SITES OR LOCATIONS AS AGREED TO BY THE PARTIES'
EXECUTIVE AGENTS.
2. THE PARTIES' EXECUTIVE AGENTS SHALL DEVELOP APPROPRIATE
ARRANGEMENTS FOR CONDUCTING AUDITS AND EXAMINATIONS FOR ALL
WORK PERFORMED WITHIN THE FRAMEWORK OF THIS AGREEMENT.
ARTICLE 13
All questions regarding the interpretation or application of this Agreement shall be resolved
by means of consultation between the Parties.
ARTICLE 14
1. THIS AGREEMENT SHALL ENTER INTO FORCE ON THE DATE OF SIGNATURE,
AND SHALL REMAIN IN FORCE FOR FIVE YEARS. THE AGREEMENT MAY BE
EXTENDED FOR SUCCESSIVE FIVE-YEAR PERIODS WITH THE WRITTEN CONSENT
OF BOTH PARTIES AFTER JOINT REVIEW BEFORE THE END OF EACH FIVE-YEAR
PERIOD. THE AGREEMENT MAY BE AMENDED BY WRITTEN AGREEMENT OF THE
PARTIES.
2. THIS AGREEMENT MAY BE TERMINATED BY EITHER PARTY BY SENDING
WRITTEN NOTICE THROUGH DIPLOMATIC CHANNELS OF ITS INTENT TO
TERMINATE THE AGREEMENT, IN WHICH CASE THE AGREEMENT SHALL
TERMINATE SIX MONTHS FROM THE DATE OF THE NOTIFICATION.
3. IN THE EVENT THAT EITHER PARTY EXERCISES ITS RIGHT TO TERMINATE
THIS AGREEMENT, THE PARTIES MAY AGREE UPON THE IMPLEMENTATION OF
EXISTING CONTRACTS AND PROJECTS UNTIL THEIR COMPLETION, AND WILL
SETTLE ANY OUTSTANDING COSTS BY MUTUAL AGREEMENT. IF THIS
AGREEMENT IS TERMINATED OR EXPIRES, THE PARTIES AGREE THAT ALL
SENSITIVE INFORMATION AND INTELLECTUAL PROPERTY THAT WAS MADE
AVAILABLE IN THE COURSE OF THE AGREEMENT SHALL CONTINUE TO BE
TREATED IN CONFORMANCE WITH ARTICLE 6 OF THIS AGREEMENT, UNLESS
OTHER ARRANGEMENTS ARE MADE BY WRITTEN AGREEMENT OF THE PARTIES.
DONE AT MOSCOW THIS TWENTY-FOURTH DAY OF JULY, 1998, IN DUPLICATE
IN THE ENGLISH AND RUSSIAN LANGUAGES, BOTH TEXTS BEING EQUALLY
AUTHENTIC.
FOR THE GOVERNMENT OF
THE UNITED STATES OF AMERICA:
_____________________________
FOR THE GOVERNMENT OF THE RUSSIAN FEDERATION:
_____________________________
ANNEX
TO THE AGREEMENT BETWEEN THE GOVERNMENT OF THE UNITED STATES
OF AMERICA AND THE GOVERNMENT OF THE RUSSIAN FEDERATION ON
SCIENTIFIC AND TECHNICAL COOPERATION IN THE MANAGEMENT OF
PLUTONIUM THAT HAS BEEN WITHDRAWN FROM NUCLEAR MILITARY
PROGRAMS
INTELLECTUAL PROPERTY
PURSUANT TO ARTICLE 6 OF THIS AGREEMENT:
THE PARTIES SHALL ENSURE ADEQUATE AND EFFECTIVE PROTECTION OF
INTELLECTUAL PROPERTY CREATED OR FURNISHED UNDER THIS AGREEMENT
AND RELEVANT IMPLEMENTING AGREEMENTS. THE PARTIES AGREE TO NOTIFY
ONE ANOTHER IN A TIMELY FASHION OF ANY INVENTIONS OR COPYRIGHTED
WORKS RESULTING FROM SCIENTIFIC AND TECHNOLOGICAL WORK PERFORMED
UNDER THIS AGREEMENT AND TO SEEK PROTECTION FOR SUCH INTELLECTUAL
PROPERTY IN A TIMELY FASHION. RIGHTS TO SUCH INTELLECTUAL PROPERTY
SHALL BE ALLOCATED AS PROVIDED IN THIS ANNEX.
I. SCOPE
A. THIS ANNEX IS APPLICABLE TO ALL COOPERATIVE ACTIVITIES
UNDERTAKEN PURSUANT TO THIS AGREEMENT, EXCEPT AS OTHERWISE
SPECIFICALLY AGREED BY THE PARTIES OR THEIR EXECUTIVE AGENTS.
B. FOR PURPOSES OF THIS AGREEMENT, "INTELLECTUAL PROPERTY" SHALL
HAVE THE MEANING FOUND IN ARTICLE 2 OF THE CONVENTION ESTABLISHING
THE WORLD INTELLECTUAL PROPERTY ORGANIZATION, DONE AT STOCKHOLM,
JULY 14, 1967.
C. THIS ANNEX ADDRESSES THE ALLOCATION OF RIGHTS AND INTERESTS
BETWEEN THE PARTIES. EACH PARTY SHALL ENSURE THAT THE OTHER PARTY
CAN OBTAIN THE RIGHTS TO INTELLECTUAL PROPERTY ALLOCATED IN
ACCORDANCE WITH THIS ANNEX, BY OBTAINING THOSE RIGHTS FROM ITS OWN
PARTICIPANTS THROUGH CONTRACTS, LICENSE AGREEMENTS OR OTHER LEGAL
DOCUMENTS, IF NECESSARY. THIS ANNEX DOES NOT OTHERWISE ALTER OR
PREJUDICE THE ALLOCATION BETWEEN A PARTY AND ITS NATIONALS OR OTHER
LEGAL ENTITIES, WHICH SHALL BE DETERMINED BY THAT PARTY'S LAWS AND
PRACTICES.
D. DISPUTES CONCERNING INTELLECTUAL PROPERTY ARISING UNDER THIS
AGREEMENT SHOULD BE RESOLVED THROUGH DISCUSSIONS BETWEEN THE
CONCERNED PARTICIPATING INSTITUTIONS, OR, IF NECESSARY, THE PARTIES OR
THEIR EXECUTIVE AGENTS. UPON MUTUAL AGREEMENT OF THE PARTIES, A
DISPUTE SHALL BE SUBMITTED TO AN ARBITRAL TRIBUNAL FOR BINDING
ARBITRATION IN ACCORDANCE WITH THE AGREEMENT AND WITH THE
APPLICABLE RULES OF INTERNATIONAL LAW.
E. TERMINATION OR EXPIRATION OF THIS AGREEMENT SHALL NOT AFFECT
RIGHTS OR OBLIGATIONS UNDER THIS ANNEX.
II. ALLOCATION OF RIGHTS
A. EACH PARTY SHALL BE ENTITLED TO A NON-EXCLUSIVE, IRREVOCABLE,
ROYALTY-FREE LICENSE IN ALL COUNTRIES TO TRANSLATE, REPRODUCE, AND
PUBLICLY DISTRIBUTE SCIENTIFIC AND TECHNICAL JOURNAL ARTICLES, PAPERS,
REPORTS, AND BOOKS DIRECTLY ARISING FROM COOPERATION UNDER THIS
AGREEMENT. ALL PUBLICLY DISTRIBUTED COPIES OF A COPYRIGHTED WORK
PREPARED UNDER THIS PROVISION SHALL INDICATE THE NAMES OF THE
AUTHORS OF THE WORK UNLESS AN AUTHOR EXPLICITLY DECLINES TO BE
NAMED.
B. RIGHTS TO ALL FORMS OF INTELLECTUAL PROPERTY, OTHER THAN THOSE
RIGHTS DESCRIBED IN PARAGRAPH II.A ABOVE, SHALL BE ALLOCATED AS
FOLLOWS:
(1) VISITING RESEARCHERS SHALL RECEIVE INTELLECTUAL PROPERTY
RIGHTS UNDER THE POLICIES OF THE HOST INSTITUTION. IN ADDITION, EACH
VISITING RESEARCHER NAMED AS AN INVENTOR OR AUTHOR SHALL BE
ENTITLED TO AWARDS, BONUSES, BENEFITS, OR ANY OTHER REWARDS IN
ACCORDANCE WITH THE POLICIES OF THE HOST INSTITUTION.
(2) (A)FOR INTELLECTUAL PROPERTY CREATED DURING JOINT RESEARCH,
FOR EXAMPLE, WHEN THE PARTIES, PARTICIPATING INSTITUTIONS, OR
PARTICIPATING PERSONNEL HAVE AGREED IN ADVANCE ON THE SCOPE OF
WORK, EACH PARTY SHALL BE ENTITLED TO OBTAIN ALL RIGHTS AND
INTERESTS IN ITS OWN COUNTRY. RIGHTS AND INTERESTS IN THIRD COUNTRIES
WILL BE DETERMINED IN IMPLEMENTING AGREEMENTS. IF RESEARCH IS NOT
DESIGNATED AS "JOINT RESEARCH" IN THE RELEVANT IMPLEMENTING
AGREEMENT, RIGHTS TO INTELLECTUAL PROPERTY ARISING FROM THE
RESEARCH WILL BE ALLOCATED IN ACCORDANCE WITH PARAGRAPH II.B.(1)
ABOVE. IN ADDITION, EACH PERSON NAMED AS AN INVENTOR OR AUTHOR
SHALL BE ENTITLED TO RECEIVE AWARDS IN ACCORDANCE WITH THE POLICIES
OF THE PARTICIPATING INSTITUTIONS.
(B) NOTWITHSTANDING PARAGRAPH II.B.(2)(A) ABOVE, IF A TYPE OF
INTELLECTUAL PROPERTY IS AVAILABLE UNDER THE LAWS OF ONE PARTY BUT
NOT THE OTHER PARTY, THE PARTY WHOSE LAWS PROVIDE FOR THIS TYPE OF
PROTECTION SHALL BE ENTITLED TO ALL RIGHTS AND INTERESTS WORLDWIDE.
PERSONS NAMED AS INVENTORS OR AUTHORS OF THE PROPERTY SHALL
NONETHELESS BE ENTITLED TO AWARDS, BONUSES, BENEFITS, OR ANY OTHER
REWARDS IN ACCORDANCE WITH THE POLICIES OF THE PARTICIPATING
INSTITUTION OF THE PARTY OBTAINING RIGHTS.
III. BUSINESS CONFIDENTIAL INFORMATION
IN THE EVENT THAT INFORMATION IDENTIFIED IN A TIMELY FASHION AS
BUSINESS-CONFIDENTIAL IS FURNISHED OR CREATED UNDER THIS AGREEMENT,
EACH PARTY AND ITS PARTICIPANTS SHALL PROTECT SUCH INFORMATION IN
ACCORDANCE WITH APPLICABLE LAWS, REGULATIONS, AND ADMINISTRATIVE
PRACTICES. INFORMATION MAY BE IDENTIFIED AS "BUSINESS-CONFIDENTIAL" IF
A PERSON HAVING THE INFORMATION MAY DERIVE AN ECONOMIC BENEFIT
FROM IT OR MAY OBTAIN A COMPETITIVE ADVANTAGE OVER THOSE WHO DO
NOT HAVE IT, THE INFORMATION IS NOT GENERALLY KNOWN OR PUBLICLY
AVAILABLE FROM OTHER SOURCES, AND THE OWNER HAS NOT PREVIOUSLY
MADE THE INFORMATION AVAILABLE WITHOUT IMPOSING IN A TIMELY MANNER
AN OBLIGATION TO KEEP IT CONFIDENTIAL.
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