28. 2. 91 Official Journal of the European Communities No C 53/39 
Proposal for a Council Decision on the dissemination and exploitation of knowledge resulting from 
the specific programmes of research and technological development of the Community 
COM(90) 611 final — SYN 323 
(Submitted by the Commission on 17 December 1990) 
(91/C 53/05) 
THE COUNCIL OF THE EUROPEAN COMMUNITIES, 
Having regard to the Treaty establishing the European 
Economic Community, and in particular Article 130q (2) 
thereof, 
Having regard to the proposal from the Commission, 
In cooperation with the European Parliament, 
Having .regard to the opinion of the Economic and Social 
Committee, 
Whereas Article 130g (c) of the Treaty states that the 
Community, complementing the activities carried out in the 
Member States, is to carry out activities for the 
'dissemination and optimization of the results of activities in 
Community research, technological development and 
demonstration'; 
Whereas the second paragraph of Aricle 130k of the Treaty 
stipulates that the Council shall define the detailed 
arrangements for the dissemination of knowledge resulting 
from the specific programmes; 
Whereas the Treaty establishing the European Coal and Steel 
Community stipulates that the Commission is to carry out 
activities in the Coal and Steel sector which do not form part 
of the framework programme for research and technological 
development, the results of which must be disseminated and 
used by means of suitable separate activities, using the 
resources of the ECSC 'operating budget'; 
Whereas by Decision 90/221 /Euratom, EEC (*), the 
Council adopted a third framework programme for 
Community activities in the field of research and 
technological development (1990 to 1994), specifying inter 
alia the activities to be pursued for developing the scientific 
knowledge and technical know-how needed by the 
Community, and providing that the detailed arrangements 
for the dissemination of the knowledge gained, in particular 
the definition and the implementation of the centralized 
action, should be the subject of a Council Decision; 
Whereas it is necessary to ensure the coherence of schemes for 
disseminating the knowledge resulting from specific programmes in the framework programme and whereas such 
coherence must be based on general rules which guarantee 
the protection of the legitimate interests of the public and 
private contracting parties and of the rights linked to the 
obtaining and exploitation of the results, as well as their 
exploitation in conformity with the Community's interests, 
in particular with respect to its economic and social 
cohesion; 
Whereas, in order to improve the insertion of Community 
research into a broader context and to optimize the 
utilization of the knowledge which results from it, it is 
important that the centralized action should both intensify its 
emphasis on the research-industry interface and widen its 
scope to the research-science and research-society 
interfaces; 
Whereas an estimate should be made of the amount of 
Community financial resources needed to carry out this 
action; whereas the definitive amounts will be fixed by the 
budgetary authority in line with the financial perspectives 
covering the period 1988 to 1992 included in the 
interinstitutional Agreement of 29 June 1988 (2) and with 
any future financial perspectives covering the period 1993 to 
1994; 
Whereas the Scientific and Technical Research Committee 
(Crest) has delivered its opinion, 
HAS ADOPTED THIS DECISION: 
I. Definition and implementation of the centralized 
action 
Article 1 
1. The dissemination and exploitation of knowledge shall 
be carried out as part of the specific programmes and by 
means of a centralized action. 
2. The centralized action, as defined in Annex I, shall 
ensure overall coordination and cohesion in the field covered 
by the framework programme. It is adopted for the period 
between the date of publication in the Official Journal of the 
First Decision adopting a specific programme under the 
framework programme (1990 to 1994) and 31 December 
1994. 
(>) OJ No L 117, 8. 5. 1990, p. 28. (2) OJ No L 185715. 7. 1988, p. 33. 
No C 53/40 Official Journal of the European Communities 28. 2. 91 
Article 2 
1. The amount of Community expenditure deriving from 
the levies on the sums considered necessary for the specific 
programmes, with a view to the implementation of the 
centralized action established by this Decision, is estimated at 
ECU 57 million. 
The amount includes staff costs, which may amount to a 
maximum of 6 %. An indicative breakdown of expenditure is 
set out in Annex II. 
2. Should the Council take a decision in implementation 
of Article 1 (4) of Decision 90/221 /Euratom, EEC, this 
Decision shall be adapted to take account of the 
abovementioned Council Decision. 
3. The budgetary authority shall decide on the 
appropriations available for each financial year. -Article 6 
1. The procedure laid down in Article 5 shall apply to: 
— the evaluation of the projects proposed, as well as the 
estimated amount of the Community's financial 
contribution, 
— the definition of the confidentiality criteria applicable to 
the dissemination of the results, 
— the precise implementing arrangements resulting from 
agreements concluded with non-Community countries, 
— measures for evaluating the action. 
2. The Commission may consult the Committee on any 
matter falling within the scope of the action. 
Article 3 
1. Before the end of 1992 the Commission shall review 
the action and address a report on the results of the review to 
the Council and the European Parliament, together with 
proposals for any necessary changes. 
2. At the end of the action the Commission shall assess the 
results obtained. It shall address a report thereon to the 
Council and the European Parliament. 
3. The reports shall be drawn up having regard to. the 
objectives set in Annex I to this Decision and in accordance 
with Article 2 (4) of Decision 90/221/Euratom, EEC. 
Article 4 
The Commission shall be responsible for the execution of the 
action..It shall be assisted by a committee of an advisory 
nature, hereinafter referred to as 'the Committee', composed 
of the representatives of the Member States and chaired by 
the representative of the Commission. 
Article S 
1. In the cases referred to in Article 6(1), the 
representative of the Commission shall submit to the 
Committee a draft of the measures to be taken. The 
Committee shall deliver its opinion on the draft within a time 
limit which the Chairman may lay down according to the 
urgency of the matter, if necessary by taking a vote. 
2. The opinion shall be recorded in the minutes; in 
addition, each Member State shall have the right to ask to 
have its position recorded in the minutes. 
3. The Commission'shall take the utmost account of the 
opinion delivered by the Committee. It shall inform the 
Committee of the manner in which its opinion has been taken 
into account. II. General provisions 
Article 7 
1. The dissemination and exploitation of knowledge 
resulting from the Community's specific research and 
technological, development programmes shall be subject to 
the following rules: 
(a) The knowledge resulting from work undertaken directly 
or financed wholly by the Community shall be the 
property of the Community. 
That resulting from work under a shared-cost contract 
shall be the property of the contractors who carry out 
the work. 
(b) Knowledge which could be used in an industrial 
application, if its nature justifies such a measure, shall be 
protected to the extent required in the light of the 
interests of the Community and its co-contractors and in 
accordance with any applicable legislation or 
conventions. 
(c) The Community and its co-contractors shall exploit the 
knowledge in their possession, or have it exploited, in 
conformity with the Community's interests, and taking 
full account of the objective of strengthening economic 
and social cohesion in the Community. 
(d) Knowledge belonging to the Community shall be made 
available to its co-contractors and to interested third 
parties established in the Community who can prove 
that they need the knowledge and who undertake to 
exploit it or have it exploited in conformity with the 
Community's interests. Such provision of knowledge 
may be subject to appropriate conditions, particularly 
concerning the payment of fees. 
All contractors shall make the knowledge in their 
possession, together with any information necessary for 
28. 2. 91 Official Journal of the European Communities No C 53/41 
safeguard intellectual property, confidentiality or 
legitimate commercial interests. 
2. The Commission shall lay down the arrangements for 
implementing the rules laid down in paragraph 1. 
Article 8 
This Decision is addressed to the Member States. 
ANNEX I 
AIMS AND CONTENT 
The general aim of the centralized action for the dissemination and exploitation of knowledge resulting from 
Community research activities, carried out under this programme, is to give specific added value to the R&D 
activities which are the subject of the third framework programme for 1990 to 1994. On the one hand, it provides 
the necessary continuity for some of the measures carried out under the Value programme; on the other, it 
introduces new topics concerned particularly with the repercussions of research and technological development 
activities and their Tesults on society as a whole. 
This centralized action is to be conducted in accordance with the following guiding principles. 
(a) Horizontally 
Measures to publish and utilize research results must apply to the whole range of Community R&D activities, 
irrespective of the nature of programmes, the persons involved and the administrative authorities responsible. 
This criterion means that this centralized action is one of a series of horizontal measures including 
programmes like Monitor which is designed to come up with scenarios and strategies for future 
research. 
(b) Internal complementarity 
The centralized action does not rule out, in fact to some extent it presupposes, measures taken within each 
specific programme to promote the dissemination of the results. It supplements and coordinates the measures 
taken under specific programmes. It also concentrates on activities requiring special infrastructure 
(computerized information systems, a network of'relay stations', etc.) or special capabilities for transferring 
know-how to fields of activity in other disciplines. 
(c) Subsidiarity 
The centralized action takes account of the synergies between decentralized (public and private) and 
Community R&D activities and is designed, in conjunction with other Community measures (regional 
development programmes, Sprint), and in cooperation with the national and regional authorities responsible, 
to establish a single space for the utilization and transfer of the technologies and the know-how obtained from 
research and technological development. 
As far as the content of the present programme is concerned, those measures already launched to forge closer links 
between research and industry will be supplemented by other new measures designed to forge closer links between 
research and society and between research and the scientific community. These are measures which reflect the new 
scientific and technological objectives and constraints set by society and its institutions, and the increasing interest 
in an interdisciplinary approach to research and technological development activities. At this stage, and now that 
its activities are more developed, this centralized action will incorporate these new topics into its conceptual and 
operational framework. 
1. Research — industry interface 
The aim is to help to improve the international competitiveness of Europe's industry in accordance with the 
provisions of the EEC Treaty by means of specific projects designed to maximize the impact of Community R&D 
activities on industry as a whole. It is up to companies, first and foremost, to make good use of the results. its use, available to the co-contractors and to interested 
third parties who satisfy contractually defined 
conditions. 
(e) The Commission shall ensure that knowledge suitable 
for dissemination is disseminated or published either by 
the Commission itself or by its co-contractors, without 
any restrictions other than those imposed by the need to 
No C 53/42 Official Journal of the European Communities 28. 2. 91 
Cooperation between universities and industry is encouraged within the framework of specific programmes. The 
centralized action will help organizations involved in Community R&D projects to protect their findings, but at 
the same time to exploit and promote them. The following measures are proposed. 
A. New channels of information for companies 
A network of 'relay stations' will be set up to promote Community R&D. This will be done by developing the 
channels already made available for providing companies with information and for disseminating results. It 
will provide multifunctional support for the measures planned under the present programme. These relay 
stations will have special access to Community information and will be able to tailor this information to the 
various needs which arise at decentralized level. They will also allow companies, particularly small businesses 
and businesses located in the more peripheral and least favoured areas of the Community, to enter into contact 
with centres of excellence. 
The relay stations will have a role to play both downstream and upstream of specific programmes. Upstream, 
these relay stations will provide information (by publishing newsletters, translating documents, organizing 
conferences, etc.), advice and assistance (by helping small businesses to define their Community strategy and 
to find, and negotiate contracts with, partners). Downstream, they will help with the centralized action to 
publish and utilize research results consolidating links between the companies and laboratories requiring 
information at local or national level and the supply of information at Community level (by organizing 
targeted dissemination projects and information and training campaigns). 
The scientific, technical and industrial community will help to select the relay stations in the Member States 
and to define their specific tasks. In order to make them as dynamic as possible, the quality of information 
flows will be improved and be made more efficient. 
Once the Value programme has been completed, a basic service, Cordis, should become available. As of 1991, 
the availability of this service can be speeded up by allocating more resources to it within the framework of the 
centralized action. After 1993, the aim of the centralized action will be to update and add to Cordis data in 
order to ensure that there is no breakdown in the service. The service will have to provide new functions and 
continue to expand by including other sources of information. The proposed pattern of development will 
include: making the service more user-friendly; extending the service by integrating other databases from 
European bodies or programmes; using electronic storage devices (CD ROM and video discs); developing 
systems for electronic data exchange between selected users, including the relay stations, which could allow 
additional information services or special access facilities for certain private data providers. 
The development of computerized methods does not exclude the use of more traditional methods like the 
publication of bulletins and bibliographies which will provide wider access to information services. 
B. Utilization of results 
This action, which was already started in the Value programme, should be extended to the new fields covered 
by the framework programme and developed in line with the results that become available in the years ahead. 
This means utilizing the research and development results of which the Community is the owner and, where 
needed, helping to utilize the results of research and development projects undertaken on a shared-cost basis. 
In the latter case, the aim will be to help contractors who do not have sufficient expertise, in particular the 
universities and SMEs, to take advantage of the results of their research and development work. 
The work to be undertaken as part of a real Community design engineering service could take different forms 
depending on each specific case: — identifying, controlling and appraising the results of research in order to 
develop and target utilization plans, — finding licensees especially for the JRC and, more generally, parties 
interested in utilizing results, — providing adequate financial support for studies or tests and experimental 
developments. 
This work will be carried out with the help of outside experts and competent organizations in the Member 
States. 
C. Protection of results 
The protection of results belonging to the Community and management of the patents portfolio that it holds 
will be continued, as in the past, through systematic examination of the final reports and results obtained by 
the JRC. The actions described below, which have already been started in the Value programme, will be 
developed more intensively by the centralized action. 
28. 2. 91 Official Journal of the European Communities No C 53/43 
Those universities, research centres and SMEs which do not have a patents department will, on request, be 
provided with aid by the centralized action. It will supply expertise on patents and financial support limited to 
the costs of searches for prior claims to novelty and first patent applications. 
Public awareness campaigns can also be organized on the importance of protecting results for the research 
scientists participating in Community R&D programmes. 
D. Promotional activities 
Promotion of the results among the scientific and educational community and in the world of business could 
take the following form: financial support for organizations making an active contribution to the promotion 
of results and, in general, for organizations within a transnational network set up in order to facilitate, 
promote and coordinate access to Community programmes; organization of seminars, conferences and other 
means of communication, including in association with the respective bodies in the Member States and, in 
particular with the 'relay stations'; attendance at trade fairs. Specific activities are planned to provide 
economic and social cohesion in countries where dissemination and utilization structures do not exist or are 
still in their infancy. 
2. Interface between research and the scientific community 
The objective of the activities under this heading is to contribute to the inter-disciplinary reflection already 
underway about research, and the methods, problems and position of research in the whole range of human 
activities. The actions in question open a new chapter on 'research on research'. They will involve inter-disciplinary 
contributions and will be structured around the four following axes: 
A. Institutions of research 
The aim is to apply the disciplines of law, political sciences, social and human sciences to a series of aspects of 
R&D. In particular, the following topics will be studied: questions of intellectual property and other civil law 
and public law aspects; ethics; history and comparative analysis of public and private research structures; 
international rules on scientific and technological information, especially with regard to the constraints or 
opportunities for the optimal dissemination and exploitation of knowledge resulting from specific 
programmes. 
B. Communication of research 
The objective is to apply findings in certain disciplines, such as logic, semiotics, epistemology and cognitive 
sciences, to the analysis and development of the communication of research. This will involve, in particular: 
the transfer of scientific and technological know-how to the various classes of user; scientific language in 
relation to external variables of a socio-cultural nature; the aspects of communication which, by using 
transcriptional and translational models, allow an interdisciplinary fabric to be constructed which covers the 
wealth of scientific and technological knowledge. 
C. Economics of research 
Macroeconomic instruments and business sciences must be used to determine the optimum use of resources to 
be channelled into research as part of general economic development objectives and company objectives. The 
economic and econometric bases must also be provided for research investment policies, in particular with 
reference to commitments from the Member States and the Community. Taking account also of studies 
conducted in other contexts, the cost-benefit aspects of the cycle of research and development, and the 
economic obstacles to its exploitation, will be examined. 
D. Management of research 
Management studies will help with the organization of research and laboratory management. They can make 
a contribution to project management, administrative procedures and methods of management. Particular 
attention will be paid to subjects relating to decentralized management and making more efficient use of 
human resources in the departments which manage research. Comparative studies will be conducted on the 
different management models used by university and industrial research institutes. 
From an operational point of view, measures to consolidate links between research and the scientific 
community will take three forms: 
No C 53/44 Official Journal of the European Communities 28. 2. 91 
(a) support for studies and research by institutes and academics in the four subject areas described above, 
usually according to the additional costs formula; 
(b) contributions to studies, monographs, theses and articles, according to special selection procedures; 
(c) contributions to conferences and other academic events. 
3. Interface between research and society 
This heading covers measures designed to identify and study the impact on society of the new scientific and 
technological knowledge acquired as a result of Community activities. The aim is to spread scientific know-how 
widely through Europe. This is a new and essential component of the centralized action, the aim being to make 
changes in the contemporary approach to science compatible with future plans for our society. 
This reflects the more mature and at the same time more critical attitude now being adopted by the public. There is 
an increasing reluctance to accept implicitly the principle that scientific and technological progress is a priori and in 
every case beneficial to man aiid society. 
The centralized action can help better to direct the Community's R&D policy by paying particular attention to the 
areas where interaction between science and technology on the one hand and society on the other is particularly 
critical (or is perceived as such). To this end, it should take its place in an efficient interactive process consisting of 
the following stages: research, research results, public perception and reaction, assessment of social impact, 
modification of research activities where necessary. In order to ensure that this procedure works effectively, close 
links will have to be forged across the board with the specific study programmes developed prior to the policy 
making process. The centralized action will be in three parts. 
A. Contribution to assessment of the social impact of science and technology 
In conjunction with the more specific activities provided for in the individual specific programmes and with the 
activities of the Monitor programme, more general 'technology assessment' schemes will be developed. Those 
areas which will be specially monitored and studied are not only those which relate to the exploitation of new 
technologies affecting health, safety, and the environment, but also ethical and legal questions relating to the 
exploitation of results. These studies will be conducted with the help of experts in these various fields while 
maintaining close contact and dialogue with those who are specifically involved in defining strategies and 
programmes. 
B. Communication with the public 
Appropriate channels of communication, particularly through the mass media, will be used to provide 
information for the public. Special use will be made of the relay stations mentioned above. The Member States 
will be involved with providing information and for coordination between Community, national and regional 
channels of information. 
C. Analysing public demand and new requirements 
In conjunction with the other programmes concerned, the centralized action will provide studies and surveys 
designed to identify the latest social needs. Through its direct contact with actual or potential users of the 
knowledge resulting from R&D programmes, it will offer a rich and varied source of information concerning 
needs related to the standard of living and the quality of life, as well as in terms of the need to provide greater 
production and economic opportunities in a coherent Community context. 
28. 2. 91 Official Journal of the European Communities No C 53/45 
ANNEX II 
INDICATIVE BREAKDOWN OF EXPENDITURE 
Research-industry interface 
Research-scientific community interface" 
Research-society interface 
The above amounts include administrative and staff costs. 
Despite this breakdown into different areas, projects may nevertheless fall under several areas. as a percentage 
70/75 
15/12 
15/12 
100/99