Proposal for a COUNCIL RECOMMENDATION on the guiding principles for knowledge valorisation
Date: 2022-08-09
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: EU research policy, industry-research relations, innovation, intellectual property, investment, knowledge economy, knowledge management, knowledge transfer, open science, research and development

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   EUROPEAN COMMISSION  Brussels, 9.8.2022  COM(2022) 391 final 2022/0233 (NLE)  Proposal for a COUNCIL RECOMMENDATION on the guiding principles for knowledge valorisation  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

In  2008,  the  Commission  issued  a  Recommendation  on  the  management  of  intellectual 
property (IP) in knowledge transfer activities and a Code of Practice for universities and other 
public  research  organisations  (C(2008)1329).  The  research  and  innovation  (R&I)  landscape 
has  changed  considerably  since  2008  in  terms  of  actors  and  complexity  of  the  R&I 
ecosystems,  as  well  as  in  terms  of  global  challenges.  The  COVID-19  pandemic  has  also 
demonstrated  the  urgent  need  to  use  and  valorise  the  R&I  knowledge  generated  in  the 
European Union (EU). This requires policymakers to set new objectives and provide updated 
guidance on knowledge valorisation.  

The  guiding  principles  for  knowledge  valorisation  will  replace  the  2008  Commission 
Recommendation by focussing on maximising the value of the R&I investments beyond the 
traditional  knowledge  transfer.  Knowledge  valorisation  relies  on  different  channels1  and 
involve  all  actors  in  the  R&I  ecosystem  and  their  knowledge  assets.  The  guiding  principles 
will also help fill knowledge valorisation gaps across Member States and ensure that citizens 
in all Member States can better benefit from R&I results.  

The 2020 Commission Communication on ‘A New ERA for Research and Innovation’2 lays 
the  foundations  for  developing  and  updating  guiding  principles  for  knowledge  valorisation 
and  a  code  of  practice  for  the  smart  use  of  intellectual  property,  by  the  end  of  2022.  The 
Council  Recommendation  of  26  November  2021  ‘on  a  Pact  for  Research  and  Innovation  in 
Europe’3  identifies  knowledge  valorisation  as  one  of  the  priority  areas  for  joint  action  in 
support of the European research area (ERA).  

The Council Conclusions on the ‘Future governance of the European Research Area’ adopted 
on  26  November  20214  endorsed  the  ERA  Policy  Agenda  for  2022-2024.  The  ERA  Policy 
Agenda includes ‘Upgrade EU guidance for better knowledge valorisation’ as ERA Action 7. 
The  first  outcome  of  this  is  to  ‘Develop  and  endorse  guiding  principles  for  knowledge 
valorisation’.   

The guiding principles for knowledge valorisation will be further supported by two Codes of 
Practice  providing  more  detailed  guidance  on  the  implementation  of  certain  areas  of 
knowledge  valorisation  for  actors  in  the  R&I  ecosystem.  ERA  Action  7  foresees  a  Code  of 
practice on the smart use of intellectual property and a Code of practice for researchers on 
standardisation.  

The guiding principles build on the co-creation by the ERA Forum subgroup on knowledge 
valorisation  established  by  the  informal  Commission  expert  group  on  the  ERA  Forum  for 
Transition.  

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European  Commission,  Directorate-General  for  Research  and  Innovation,  Research  &  innovation 
valorisation  channels  and  tools  :  boosting  the  transformation  of  knowledge  into  new  sustainable 
solutions, Publications Office, 2020. 
COM(2020) 628 final. 
Council  Recommendation  (EU)  2021/2122  of  26  November  2021  on  a  Pact  for  Research  and 
Innovation in Europe, OJ L 431, 2.12.2021, p. 1. 
Council document 14308/21. 

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The current proposal for a Council Recommendation will make it possible to adopt a common 
line  on  policy  principles  and  measures  for  improving  knowledge  valorisation  in  the  EU 
without imposing legally binding provisions.  

The guiding principles on knowledge valorisation will support the updated Industrial Strategy 
for  Europe5  and  the  EU  Intellectual  Property  Action  Plan6,  by  raising  the  research 
community’s awareness of the importance of IP management, promoting the effective use and 
deployment of IP, and ensuring easier access to and sharing of IP-protected assets. They will 
also  support  the  initiatives  of  the  European  Green  Deal,  and  enhance  the  link  between 
research  and  standardisation  in  line  with  the  EU  Standardisation  Strategy7.  In  line  with  the 
Commission Communication on A New European Innovation Agenda8, the guiding principles 
will  also  help  leveraging  the  diverse  talents,  intellectual  assets  and  industrial  capabilities  in 
Europe. They will also help improve knowledge valorisation in universities and put focus on 
creative  and  entrepreneurial  skills  supporting  the  European  strategy  for  universities9,  the 
European  Education  Area  (EEA)10  and  the  European  Skills  Agenda  for  sustainable 
competitiveness, social fairness and resilience11. Furthermore, the guiding principles conform 
to  the  Council  conclusions  on  Research  assessment  and  implementation  of  Open  Science 
adopted  on  10  June  202212  which  suggest  that  the  evolution  of  the  research  assessment 
systems  in  Europe  should  take  into  consideration  of  knowledge  valorisation.  Finally,  the 
guiding principles will strengthen the capacity of R&I systems to support evidence-informed 
policymaking, public administrations13 and better regulation14. 

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The legal bases for this initiative are Articles 182(5) and 292 of the Treaty on the Functioning 
of the European Union (TFEU). In accordance with Article 292 TFEU, the Council can adopt 
recommendations  and  will  act  on  a  proposal  from  the  Commission  in  all  cases  where  the 
Treaties state that it must adopt acts on the basis of a proposal from the Commission.  

Article  182(5)  opens  up  the  possibility  of  complementing  the  activities  planned  in  the 
multiannual  framework  programme  by  allowing  the  European  Parliament  and  the  Council, 
acting  in  accordance  with  the  ordinary  legislative  procedure  and  after  consulting  the 
Economic and Social Committee, to establish the measures necessary for the implementation 
of the ERA. 

• 

Subsidiarity (for non-exclusive competence)  

In accordance with  Article 179 TFEU, the European Union (EU) will have the objective of 
strengthening its scientific and technological bases by achieving a European research area in 
which researchers, scientific knowledge and technology circulate freely, and encouraging it to 

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COM(2020) 102 final and COM(2021) 350 final. 
COM(2020) 760 final. 
COM(2022) 31 final. 
COM(2022) 332 final. 
COM(2022) 16 final. 
COM(2020) 625 final. 
COM(2020) 274 final. 
Council document 10126/22. 
SWD(2021) 101 final. 
COM(2021) 219 final. 

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become more competitive, including in its industry, while promoting all the research activities 
deemed necessary by virtue of other Chapters of the Treaties. Article 180 TFEU states that the 
EU  must  carry  out  a  number  of  activities  complementing  the  activities  carried  out  in  the 
Member  States.  These  include  promoting  cooperation  with  and  between  undertakings, 
research  centres  and  universities,  as  well  as  disseminating  and  optimising  the  results  of 
activities in EU research, technological development and demonstration. 

In accordance with Article 181 TFEU, the EU and the Member States must coordinate their 
research  and  technological  development  activities  to  ensure  that  national  policies  and  EU 
policy  are  consistent  with  each  other.  In  close  cooperation  with  the  Member  States,  the 
Commission  may  take  any  useful  initiative  to  promote  this  coordination,  in  particular 
initiatives  aimed  at  the  establishment  of  guidelines  and  indicators,  the  organisation  of  the 
exchange  of  best  practice,  and  the  preparation  of  the  necessary  elements  for  periodic 
monitoring and evaluation. The European Parliament must be kept fully informed.  

The purpose of the guiding principles for knowledge valorisation is to adopt a common line 
on  policy  principles  and  measures  for  national,  regional  and  local  policymakers  to  improve 
knowledge  valorisation.  Implementation  of  the  guiding  principles  will  ensure  that  data, 
research  results  and  innovation  are  efficiently  transformed  into  sustainable  products, 
processes, services and  policies  that are of  socioeconomic value and benefit  to  society. The 
proposed  initiative  is  in  line  with  Articles  179  and  181  TFEU,  giving  the  EU  the  overall 
competence  to  support,  coordinate  or  supplement  the  Member  States’  actions  for  their 
research  and  technological  development  activities.  By  emphasising  awareness  raising,  the 
exchange of best practices and peer learning about the key aspects of knowledge valorisation, 
this  proposal  for  a  Council  Recommendation  will  improve  the  creation  of  value  stemming 
from R&I results across Member States without imposing legally binding provisions.  

Consultations  of  the  Member  States  (under  the  ERA  Forum  for  Transition  set  up  as  an 
informal Commission expert group) and stakeholders have also indicated that there is a need 
to update the 2008 Commission Recommendation on the management of intellectual property 
in knowledge transfer activities and to bring about a cultural change, moving away from the 
traditional concept of knowledge transfer to the valorisation of intellectual assets generated by 
a  broad  range  of  R&I  activities,  involving  an  increasing  amount  of  co-creation  by  different 
types of actors across R&I ecosystems.  

A Council Recommendation will provide added value in policy making by giving the guiding 
principles more visibility in the Member States and towards stakeholders. This will facilitate 
the  adoption  by  the  EU  of  a  stance  to  obtain  greater  socioeconomic  value  from  research 
results and innovation.  

• 

Proportionality 

The  actions  proposed  are  proportional  to  the  objectives  pursued.  The  proposal  supports  the 
achievement  of the objectives of the new  ERA.  It  complements Member States’  knowledge 
valorisation  efforts.  The  proposal  respects  Member  States’  practices  and  accommodates  a 
nuanced  approach  reflecting  Member  States’  different  economic,  financial  and  social 
circumstances,  as  well  as  the  diversity  of  research  systems  and  respective  institutions  and 
organisations. It also recognises that different national, regional or local conditions could lead 
to differences in how the proposed recommendation is implemented. 

In accordance with Article 5(4) of the Treaty of the European Union, neither the content nor 
the form of the proposed Council Recommendation goes beyond what is necessary to achieve 

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its objectives. The commitments Member States will make are not binding, and each Member 
State remains free to decide what approach to take.  

• 

Choice of the instrument 

The  2008  Commission  Recommendation  on  the  management  of  IP  in  knowledge  transfer 
activities  was  a  game  changer  for  many  publicly  funded  knowledge  producers.  A  study 
published  in  201315  showed  that  almost  all  countries  (92%)  involved  in  the  study  indicated 
that  national  and  regional  governments  supported  the  development  of  knowledge  transfer 
capacity  and  skills  in  universities  and  other  public  research  organisations.  Some  Member 
States  have  made  strategic  investments  in  knowledge  transfer  infrastructures  and  services, 
such as technology transfer offices and other intermediaries, and some have implemented IP-
specific policies, such as the National IP Protocol in Ireland. Despite these achievements, the 
EU  is  still  lagging  behind  its  global  competitors  in  turning  science-based  ideas  into 
innovations16, and knowledge circulation remains incoherent within the EU17. Digitalisation, 
Open  Science  and  Open  Innovation  have  drastically  changed  the  ecosystem  in  which  R&I 
actors operate and the EU needs to adapt accordingly.  

Improving  knowledge  transfer  and  valorisation  in  the  EU  was  identified  as  an  outstanding 
challenge in the 2020 Commission Staff Working Document accompanying the Commission 
Communication  ‘A  new  ERA  for  Research  and  Innovation’18.  We  are  lacking  a 
comprehensive  European  valorisation  strategy  that  provides  direction  and  objectives  and 
gives  guidance  on  R&I  relationship  management  to  encourage  valorisation  collaborations, 
including  advice on  IP  management  and use.  There is  a need to  take  into  account the more 
complex  R&I  ecosystems  and  involve  a  wider  set  of  stakeholders  and  actors  to  ensure 
dynamic knowledge flows. 

The previous guiding principles from 2008 were adopted as a Commission Recommendation. 
The chosen instrument for the current guiding principles is a Council Recommendation due to 
the  political  context  notably  the  need  to  improve  value  creation  and  increase  societal  and 
economic impacts of R&I as stated in the Council Recommendation ‘on a Pact for Research 
and Innovation in Europe’. This will give the Member States a greater sense of ownership of 
the  principles,  increase  their  visibility  and  encourage  the  adoption  by  the  EU  of  a  stance  to 
obtain  greater  socioeconomic  value  from  research  results  and  innovation  without  imposing 
legally binding provisions.  

3. 

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RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Stakeholder consultations 

Stakeholder views have been gathered on several occasions. The current proposal is the result 
of a co-creation process with Member States in the ERA Forum for Transition (set up as an 

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European  Commission,  Directorate-General  for  Research  and  Innovation,  Barjak,  F.,  Perrett,  P.,  Es-
Sadki, N., et al., Knowledge transfer study 2010-2012 : final report, Publications Office, 2014.  
European  Commission,  Directorate-General  for  Research  and  Innovation,  Science,  research  and 
innovation  performance  of  the  EU,  2020  :  11  recommendations  for  a  fair,  green  and  digital  Europe, 
Publications Office, 2021.  
European Commission, Directorate-General for Research and Innovation, ERA progress report 2018 : 
the European Research Area : advancing together the Europe of research and innovation, Publications 
Office, 2019.  
SWD(2020) 214 final. 

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informal  Commission  expert  group),  in  particular  the  Forum’s  subgroup  on  knowledge 
valorisation,  which  had  the  specific  task  and  the  necessary  expertise  to  advise  the 
Commission  on  the  drafting  of  guiding  principles  for  knowledge  valorisation.  A  survey  on 
‘Guiding  principles  for  knowledge  valorisation’  addressed  to  Member  States  and  European 
Economic Area countries was carried out between April and May 2021 to collect feedback on 
the state of play and impact  of the 2008 Commission Recommendation on the management 
of  IP  in  knowledge  transfer  activities.  A  public  consultation  on  the  guiding  principles  for 
knowledge  valorisation  was  also  conducted  between  July  and  September  2021  to  get  the 
views of a wide range of stakeholders19.  

The  results  of  the  these  consultations  clearly  indicate  the  need  for  an  update  to  foster  a 
cultural change, moving from the traditional concept of knowledge transfer to valorisation of 
intellectual assets generated by a broad range of research and innovation activities involving 
increasing  co-creation  between  different  types  of  actors  across  in  R&I  ecosystems.  In 
comparison to the 2008 Commission Recommendation the guidance should be extended from 
universities and public research organisation to a broader range of actors, such as individual 
researchers,  innovators  and  businesses  of  all  sizes,  public  administrations  and  civil  society. 
Increased  co-creation  and  sharing  of  research  results  require  early  consideration  of  control 
and ownership of all kinds of intellectual assets at every step of R&I process.  

Relevant  stakeholders  and  umbrella  organisations  were  invited  to  share  their  views  at  the 
ERA Stakeholder Meeting on 16 March 2022. This proposal takes those views into account. 

• 

Impact assessment 

The  current  proposal  does  not  require  an  impact  assessment  and  none  was  carried  out. 
However,  as  an  action  defined  in  the  Commission  Communication  on  ‘A  New  ERA  for 
Research  and  Innovation’,  it  draws  a  great  deal  on  the  analytical  work  and  evidence 
supporting  the  new  European  Research  Area  (2020  Commission  Staff  Working  Document 
accompanying the Commission Communication ‘A new ERA for Research and Innovation’). 
It concludes that many strategies, instruments and measures have been developed at the EU, 
national and regional level, by private and public actors, to improve knowledge transfer and 
valorisation.  Nevertheless,  more  effective  knowledge  valorisation  policy  requires  a  move 
towards  a  more  holistic  approach  in  order  to  create  value  from  knowledge  and  turn  R&I 
results into sustainable solutions of economic value and benefit to society.  

4. 

BUDGETARY IMPLICATIONS 

Not relevant. 

5. 

OTHER ELEMENTS 

The  current  proposal  as  part  of  the  ERA  action  plan  will  be  subject  to  the  appropriate 
monitoring, evaluation and reporting mechanism set out therein. 

19 

European  Commission,  Directorate-General  for  Research  and  Innovation,  Eerola,  I., Stakeholder 
consultation on the guiding principles for  knowledge valorisation : report of the  results, Publications 
Office, 2021.  

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2022/0233 (NLE) 

Proposal for a 

COUNCIL RECOMMENDATION 

on the guiding principles for knowledge valorisation 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty on the Functioning of the European Union, and in particular the 
first and second sentences of Article 292, 

Having regard to the proposal from the European Commission, 

Whereas: 

(1) 

(2) 

(3) 

On 10 April 2008, the Commission adopted a Recommendation on the management of 
intellectual  property  (IP)  in  knowledge  transfer  activities  and  Code  of  Practice  for 
universities  and  other  public  research  organisations20.  The  Council  welcomed  and 
supported the Recommendation and the Code of Practice in its Resolution of 30 May 
200821. Together the Recommendation and the Code of Practice gave impetus to many 
publicly  funded  knowledge  producers.  Some  Member  States  have  made  strategic 
investments  in  knowledge  transfer  infrastructures  and  services  such  as  technology 
transfer  offices  and  other  intermediaries;  and  some  have  implemented  IP-specific 
policies,  such  as  the  National  IP  Protocol  in  Ireland.  Further  activities  promoting 
knowledge transfer at EU level have been developed as part of the Innovation Union 
(2010)22. 

The  Council  Conclusions  on  Accelerating  knowledge  circulation  in  the  EU,  adopted 
on  29  May  201823,  consider  that  the  EU  needs  to  make  full  use  of  the  relevant 
scientific  and  technological  knowledge  it  produces  and  ensure  a  more  effective 
transfer of R&I project results to society and industry in order to maximise the impact 
of  R&I  investment.  It  also  invites  Member  States  to  examine  and  share  best 
knowledge transfer practices, and calls on the Commission to develop and implement 
a strategy for the dissemination and practical application of results to further increase 
the availability and use of R&I project results and accelerate their potential uptake. 

The  Commission  Communication  ‘A  New  ERA  for  Research  and  Innovation’, 
adopted  on  30  September  202024,  includes  strengthening  innovation  ecosystems  for 
knowledge circulation  and valorisation as one of the key objectives  of the new ERA 
and  an  action  to  ‘Update  and  develop  guiding  principles  for  knowledge  valorisation 
and a code of practice for the smart use of IP’. 

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C(2008) 1329. 
Council Resolution on the management of intellectual property in knowledge transfer activities and on a 
Code of Practice for universities and other public research organisations, 10323/08. 
COM(2010) 546 final. 
Council document 9507/18. 
COM(2020) 628 final. 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

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A New Industrial Strategy for Europe25 and its 2021 update underline the importance 
of  IP  management,  notably  raising  the  research  community’s  awareness  of  IP,  and 
announced a strategy on standardisation to support a more assertive stance on the EU 
interests. Among the key priorities of the EU IP Action Plan26 are ‘promoting effective 
use  and  deployment  of  IP’  as  well  as  ‘ensuring  easier  access  to  and  sharing  of  IP-
protected assets’. 
The  EU Strategy on Standardisation27 emphasises  the importance of  raising strategic 
awareness  of  standardisation  among  researchers  and  engaging  the  research  and 
innovation  community  early  on  in  standardisation,  as  a  way  of  developing  relevant 
expertise  and  skills.  The  strategy  also  states  that  by  mid-2022  the  Commission  will 
develop  a  Code  of  Practice  for  researchers  on  standardisation  to  strengthen  the  link 
between standardisation and R&I. 

The  Council  Conclusions  on  ‘The  New  European  Research  Area’,  adopted  on  1 
December  202028,  welcomed  the  Commission’s  initiative  to  review  the  2008 
Recommendation  on  the  management  of  IP  in  knowledge  transfer  activities  and  the 
Code of Practice in accordance with the New Industrial Strategy for Europe. 

The Council Recommendation ‘on A Pact for Research and Innovation in Europe’ of 
26 November 202129 identifies knowledge valorisation as one of the priority areas for 
joint  action  in  support  of  the  ERA.  The  Pact  also  recognises  value  creation  and 
societal and economic impact as part of the common set of values and principles for 
R&I  in  the  Union  that  Member  States  should  take  into  account  in  developing  their 
R&I systems. 

The  ERA  Policy  Agenda  for  2022-2024  annexed  to  the  Council  Conclusions  on  the 
‘Future governance of the European Research Area’ of 26 November 202130 includes 
an  action  to  ‘Upgrade  EU  guidance  for  better  knowledge  valorisation’.  The  first 
outcome  of  this  will  be  to  ‘Develop  and  endorse  Guiding  Principles  for  knowledge 
valorisation’. The action also includes the development of a Code of Practice for the 
smart  use  of  IP  and  a  Code  of  Practice  for  researchers  on  standardisation  to  provide 
more  detailed  guidance  on  how  to  implement  certain  aspects  of  knowledge 
valorisation. 
Open  science31  is  a  standard  method  for  working  under  the  EU  framework 
programmes  for  research  and  innovation  and  another  priority  area  for  joint  action  in 
the ERA Policy Agenda for 2022-2024. The Commission Recommendation ‘on access 
to  and preservation of scientific information’32 encourages Member States to set  and 
implement  national  policies  for  dissemination  of  and  open  access  to  scientific 
publications  and  for  the  management  of  research  data  notably  through  the  European 

COM(2020) 102 final and COM(2021) 350 final. 
COM(2020) 760 final. 
COM(2022) 31 final. 
Council document 13567/20. 
Council  Recommendation  (EU)  2021/2122  of  26  November  2021  on  a  Pact  for  Research  and 
Innovation in Europe, OJ L 431, 2.12.2021, p. 1. 
Council document 14308/21. 
Open science  means an approach to the  scientific process based on open cooperative  work,  tools and 
diffusing knowledge, as defined in Regulation (EU) 2021/695, OJ L 170, 12.5.2021, p. 15. 
Commission Recommendation (EU) 2018/790, OJ L 134, 31.5.2018, p.12.  

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Open  Science  Cloud.  The  final  report  of  the  Open  science  policy  platform33  lists 
boosting the awareness of the value of IP and the management of IP assets among the 
elements  that  a  shared  research  system  for  innovation  must  include.  The  Council 
conclusions  on  ‘Research  assessment  and  implementation  of  Open  Science’  adopted 
on  10  June  202234  suggest  that  the  evolution  of  the  research  assessment  systems  in 
Europe should take into consideration of knowledge valorisation. 

(10)  The  Commission  Communication  ‘A  European  strategy  for  data’  adopted  on  19 
February  202035  urges  to  seize  the  opportunity  presented  by  data  for  social  and 
economic  good  and that  this  potential should be put  to  work to  address  the needs of 
individuals and thus create value for the economy and society. Data-driven innovation 
will bring enormous benefits for citizens, for example through improved personalised 
medicine, new mobility and through its contribution to the European Green Deal. 

(11)  The  Commission  Communication  ‘Better  regulation:  Joining  forces  to  make  better 
laws’  adopted  on  29  April  202136  underlines  that  scientific  evidence  is  one  of  the 
cornerstones  of  better  regulation,  vital  to  establishing  an  accurate  description  of  the 
problem,  a  real  understanding  of  causality  and  therefore  intervention  logic  and  to 
evaluate impact. High quality research cannot be done overnight, so ensuring pertinent 
evidence  is  available  when  needed  requires  to  better  anticipate  and  coordinate  the 
needs  for  evidence.  It  also  means  better  mobilising  and  engaging  the  research 
community in the regulatory process. 

(12)  Fostering  transversal  skills  such  as  entrepreneurship,  creativity,  critical  thinking  and 
civic  engagement  are  among  the  objectives  of  the  Commission  Communications  ‘on 
achieving  the  European  Education  Area  by  2025’37,  ‘the  European  strategy  for 
universities’38 and ‘the European Skills Agenda for sustainable competitiveness, social 
fairness and resilience’39. The European Education Area strategic framework promotes 
collaboration and peer learning between the Member States and key stakeholders e.g. 
in the form of working groups. 

(13)  The  research  and  innovation  ecosystem  has  profoundly  changed  since  the  2008 
Commission  Recommendation  on  the  management  of  IP  in  knowledge  transfer 
activities.  An  update  is  needed,  to  focus  on  valorisation  of  all  knowledge  assets 
generated by different types of actors in a dynamic research and innovation ecosystem. 
New  challenges  have  to  be  addressed,  such  as  the  increasingly  complex  knowledge 
value-chains, new market opportunities created by emerging technologies, new forms 
of  industry-academia  and  public  sector-academia  collaborations  and  the  involvement 
of  citizens,  as  well  as  reciprocity  in  the  management  of  intellectual  assets  in  the 
context of international R&I cooperation.  

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European  Commission,  Directorate-General  for  Research  and  Innovation,  Mendez,  E.,  Progress  on 
open  science  :  towards  a  shared  research  knowledge  system  :  final  report  of  the open  science  policy 
platform, Lawrence, R.(editor), Publications Office, 2020. 
Council document 10126/22. 
COM(2020) 66 final. 
COM(2021) 219 final. 
COM(2020) 625 final. 
COM(2022) 16 final. 
COM(2020) 274 final. 

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(14)  The  diversity  of  knowledge  valorisation  channels  and  tools40  should  be  reflected  to 
address  sustainability,  social  and  policy  innovation  and  encourage  multidisciplinary 
collaborations that go beyond technological areas involving disciplines such as social 
sciences, the humanities and the arts, e.g. looking at the interlinkages between social 
and environmental or economic and environmental policies.  

(15)  The  aim  of  the  guiding  principles  for  knowledge  valorisation  is  to  adopt  a  common 
line  on  measures  and  policy  initiatives  for  improving  knowledge  valorisation  in  the 
EU. 

 HAS ADOPTED THIS RECOMMENDATION: 

GUIDING PRINCIPLES FOR KNOWLEDGE VALORISATION 

CONTEXT AND SCOPE 

In  2008,  the  European  Commission  issued  a  Recommendation  on  the  management  of  IP  in 
knowledge transfer activities and Code of Practice for universities and other public research 
organisations. The recommendation was mainly aimed at public research organisations41. 

Knowledge valorisation is the process of creating social and economic value from knowledge 
by  linking  different  areas  and  sectors  and  transforming  data  and  research  results  into 
sustainable  products  and  solutions  that  benefit  society  in  terms  of  economic  prosperity, 
environmental  benefits,  progress  and  better  policymaking.  Focusing  on  knowledge 
valorisation  makes  it  necessary  to  broaden  the  scope  of  the  2008  Recommendation,  to 
encompass the whole R&I ecosystem and its actors.  

Knowledge valorisation is a paradigm shift bringing in new aspects that will create value of 
existing  and  future  research  and  innovation  and  knowledge  assets,  including  tacit 
knowledge42. Knowledge valorisation will lead to benefits for policymaking and to new ways 
of monitoring and evaluating research and innovation through the development of indicators 
and  measurement  tools.  It  will  affect  research  and  innovation  funding  and  add  value  to 
science and research and their results. Knowledge valorisation requires the participation of the 
actors  in  the  R&I  ecosystem  and  the  knowledge  and  innovation  users/beneficiaries,  with 
particular emphasis on the use and re-use of knowledge for the benefit of society. As such, it 
is a broader concept than dissemination, that involves making knowledge and results known 
and accessible. 

Management of intellectual assets is crucial for efficient knowledge valorisation. Intellectual 
assets cover any result or products generated by  any R&I activities (e.g. patents, copyrights, 
trademarks,  publications,  data,  know-how,  prototypes,  processes,  practices,  technologies, 

40 

41 

42 

European  Commission,  Directorate-General  for  Research  and  Innovation,  Research  &  innovation 
valorisation  channels  and  tools  :  boosting  the  transformation  of  knowledge  into  new  sustainable 
solutions, Publications Office, 2020. 
The term ‘public research organisation’ includes both specialised technology research organisations and 
higher  education  institutions  that  engage  in  research  and  development  and  research  training  (RDT) 
activities with substantial funding support from public and quasi-public (e.g. charitable and non-profit 
organisation) sources, https://ec.europa.eu/invest-in-research/pdf/download_en/metcalfe_report5.pdf. 
Tacit  knowledge  is  any  knowledge  that  cannot  be  codified  and  transmitted  as  information  through 
documentation,  academic  papers,  lectures,  conferences  or  other  communication  channels.  Such 
knowledge  is  more  effectively  transferred  among  individuals  with  a  common  social  context  and 
physical proximity, as explained in the OECD Report Global Competition for Talent: Mobility of the 
Highly Skilled, P.9 of the executive summary. 

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inventions,  software  etc.)43.  Focusing  on  the  management  and  protection  of  IP  rights  limits 
value creation opportunities. Leveraging the full value of intellectual assets generated by R&I 
activities  require  organisations  performing  R&I  activities  to  manage  intellectual  assets  in  a 
broad sense, both those that can be legally protected (patents, copyrights, trademarks etc.) and 
other  intellectual  assets  that  could  be  used  in  valorisation  activities.  This  requires  the 
development  of  management  strategies  and  promotion  of  specific  and  transversal  skills  to 
leverage the full value of intellectual assets generated. 
Openness as a principle supports value creation44 and the use of intellectual asset management 
tools  can  lead  to  better  use  of  results,  positively  contribute  to  innovation  and  increase  the 
overall  added  value  of  scientific  results45.  With the  principle  of  ‘as  open  as  possible  and as 
closed  as  necessary’  it  is  important  to  recognise  that  both  Open  Science  and  Open 
Innovation46  use  and  draw  on  the  tools  for  intellectual  asset  management.  Sensible  use  of 
research  results  to  create  socioeconomic  benefits  will  also  add  to  the  overall  value  and 
importance of scientific research for society.   

Entrepreneurial  practices,  processes  and  skills  and  those  that  facilitate  engagement  with 
citizens, civil society and  policy makers are necessary components of successful knowledge 
valorisation initiatives. Turning knowledge into novel value, regardless of whether it concerns 
incremental or disruptive innovations, evidence-based policymaking, or wellbeing of citizens, 
requires proactive/enterprising and co-creation/cross-sectoral engagement attitudes or cultures 
combined with entrepreneurial efforts at some or all stages of the valorisation process. In this 
way, the valorisation process could inspire adjustments in the educational systems so that they 
better cater for the skills, competences and attitudes that would lead to higher creativity and 
societal  value  creation.  Developing  and  using  entrepreneurial  and  engagement/collaboration 
oriented approaches is therefore crucial for valorisation to be effective. 
Entrepreneurial  processes and  methods47 are experiment-based discovery,  co-created  actions 
spanning  organisational  boarders  and  involving  many  complementary  competences.  Such 
processes  and  methods  require  the  necessary  social-entrepreneurial  skills  and  capacities  to 
facilitate  social  knowledge  spillovers  beyond  commercialisation.  Using  open  method 
coordination  networks,  tools  and  instruments  from  the  European  Education  Area  (EEA) 
strategic  framework,  will  stimulate  the  knowledge  valorisation  and  development  of  related 
skills. 

Guiding  principles  should  therefore  cover  the  development,  use  and  management  of 
entrepreneurial practices, processes and skills at all levels of society in the private and public 
sectors  involved  in  knowledge  valorisation.  This  new  scope  requires  policymakers  to  align 

43 
44 

45 

46 

47 

Intellectual assets may also include the results and products of teaching activities where relevant. 
OECD, Making Open Science a Reality, OECD Science, Technology and Industry  Policy Papers, No. 
25, OECD Publishing, Paris, 2015. 
European Commission, Directorate-General for Research and Innovation, Open science and intellectual 
property rights : How can they better interact? : state of the art and reflections : executive summary, 
2022. 
The basic premise of Open Innovation is to open up the innovation process to all active players so that 
knowledge  can  circulate  more  freely  and  be  transformed  into  products  and  services  that  create  new 
markets,  fostering  a  stronger  culture  of  entrepreneurship,  European  Commission,  Directorate-General 
for Research and Innovation,  Open innovation, open science, open to the world : a vision for Europe, 
Publications Office, 2016, p.13. 
Here  the  entrepreneurial  process  is  viewed  as  a  discovery-driven  method  to  address  market-  and 
society-related  challenges  and  opportunities  by  experimentally  developing  and  exploiting  intellectual 
assets into novel and useful values (innovations) for a given set of stakeholders. 

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their policy objectives accordingly and put in place new approaches necessary for knowledge 
valorisation. These guiding principles aim to help policymakers in Member States do so. 

The guiding principles in this Recommendation therefore concern policy initiatives aimed at 
all categories of ecosystem actors involved in R&I activities, such as: 

 

 

 

 

 

 

 

 

 

 

academia, universities, research and technology organisations and other public 
research organisations, as well as academies and learned societies 

civil society organisations, citizens and non-governmental organisations 

private  investors,  funding  and  investment  organisations  including  foundations 
and charities 

individuals, e.g. innovators, researchers, scientists and students 

industry including small and medium-sized enterprises (SMEs), start-ups, spin-
offs, scale-ups and social enterprises 

(e.g.  knowledge  and 

transfer  professionals, 
intermediaries 
incubators, science parks, regional, national and European innovation hubs, IP 
experts, 
science 
communication and policy engagement teams, knowledge for policy / science 
advice organisations, citizen engagement professionals etc.) 

support  professionals, 

consultants 

technology 

innovation 

and 

national,  regional  and  local  authorities,  policymakers  and  public  and  private 
service providers (e.g. hospitals, public transportation and energy providers)  

private research organisations 

research and innovation infrastructures and state-of-the-art pilot facilities 

standardisation bodies. 

The guiding principles below are formulated to be applicable to all or most of the categories 
above.  However,  the  implementation  of  the  principles  must  be  adapted  to  the  target  actors 
through  Code  of  Practice  documents  to  be  co-created  with  stakeholders.  Each  Code  of 
Practice  could  be  thematic  (i.e.  on  intellectual  assets,  academia-industry  collaboration  or 
academia-public sector collaboration) or more directed to one or several of the actors above 
(e.g.  knowledge  transfer  professionals,  start-ups  or  companies  of  all  sizes).  The  Codes  of 
Practice  will  benefit  from  exchanges  with  the  European  Institute  of  Innovation  and 
Technology (EIT) Community.      

GUIDING PRINCIPLES 

These  guiding  principles  will  be  non-binding.  This  means  that  application  of  the  guiding 
principles  should respect  international and national  legislation  as  well as  EU law (including 
State  aid  rules)  and  they  should  be  taken  into  account  in  efforts  to  make  the  EU  legal 
framework supportive of knowledge valorisation. All the guiding principles must be applied 

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with the broadest possible societal use48 in mind including contribution to sustainable society 
in accordance with the EU guidelines for tackling R&I foreign interference49. 

Knowledge valorisation is a complex process requiring significant resources to ensure that the 
necessary range of skills and scalable capacity is developed and maintained in the EU. There 
should be continued and up-scaled investment in the development of knowledge transfer and 
brokerage  professionals  and facilitators who act  as intermediaries between relevant  research 
and innovation actors. It is especially important to encourage SMEs through strong university-
based regional innovation ecosystems, as well as  encouraging proactivity in start-ups, scale-
ups and companies of all sizes and persuading industrial partners to be open to taking risks. 

Member  States,  policymakers  and  other  relevant  actors  should  do  the  following  in  the 
following areas. 

Knowledge valorisation in research and innovation policy 

 

 

 

 

 

Ensure  that  national  support  structures  are  in  place  to  help  organisations 
become aware of the scope of this recommendation on knowledge valorisation, 
assess its implications for them, mobilise financial and non-financial resources 
to  put  it  into  practice  and  develop  the  necessary  strategies  and  practices  to 
implement and publicise it.  

Ensure that value creation policies and practices are defined, implemented and 
publicised at organisational level.  

Ensure  that  government-funded  R&I  activities  consider  the  broadest  possible 
societal  use  and valorisation of intellectual assets generated by R&I activities 
and involving all ecosystem actors, in compliance with EU State aid rules. 

Strengthen structures processes and practices in the use of research results and 
scientific  knowledge  for  designing  and  implementing  public  policy  and 
developing and revising standards. 

Promote equality, diversity and inclusion in knowledge valorisation activities, 
its  objectives  and  the  people  involved  in  such  activities,  for  example  through 
diverse  research  teams  and  R&I  content,  which  reflect  the  perspectives, 
behaviors and needs of diverse groups in society. 

Skills and capacities 

 

 

Promote  and  support  the  development  of  the  skills  and  capacities  needed  to 
develop  and  practice  knowledge  valorisation  operations 
involving  all 
stakeholders  from  students,  researchers  and 
to  professional 
intermediaries, and from technology users to policymakers. 

inventors 

Ensure that mobility schemes are in place between academia, industry and the 
public  sector 
to  facilitate  skill  development  and  cross-fertilisation  of 
competences  and  practices  among  knowledge  valorisation  actors  at  national 
and EU level. 

48 

49 

Where possible and depending on the context, valorisation activities should consider the needs of and 
the benefits for society, besides traditional profit drivers. One example is socially responsible licensing, 
where  the  licensing  of  intellectual  assets  must  ensure  that  the  price-setting  of  the  final  products  and 
services does not undermine accessibility. 
European  Commission,  Directorate-General  for  Research  and  Innovation,  Tackling  R&I  foreign 
interference : staff working document, 2022. 

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 

 

Ensure that the tacit knowledge of those generating the intellectual assets to be 
valorised  is  part  and  parcel  of  the  valorisation  process.  This  means  it  is 
important to promote participatory approaches that make it possible to include 
talents, skills and tacit knowledge in innovation and valorisation.   

Encourage  and  facilitate  multidisciplinary  collaborations  going  beyond 
technological  areas  and  involving  disciplines  such  as  social  sciences,  the 
humanities and the arts, as well as co-creative approaches. 

System of incentives 

 

 

Develop  a  relevant  and  fair  system  of  incentives  and  ensure  that  these 
incentives are in place for all R&I ecosystem actors, in particular researchers, 
innovators,  students  and  the  staff  of  universities  and  public  research 
organisations, for them to learn, apply and practice knowledge valorisation, as 
well as to attract and retain talents. 

Provide  measures  for  SMEs,  civil  society,  citizens,  end-users  and  public 
authorities to be active partners in co-creating value-adding innovation, thereby 
improving  access  to  and  the  use  of  knowledge,  and  skills  acquisition,  and 
encourage joint experimentation.    

Intellectual asset management 

 

 

 

 

 

Ensure  that  policies  and  practices  for  intellectual  asset  management  are 
defined, 
in 
knowledge valorisation. 

implemented  and  publicised 

in  all  organisations 

involved 

Raise awareness among universities,  research organisations, public authorities 
and  businesses  of  the  importance  of  managing  intellectual  assets  in  an 
international environment. 

Ensure that intellectual  assets developed by publicly  funded R&I  activities in 
the EU is managed and controlled in such a way that the socioeconomic benefit 
including  contribution  to  sustainability  for  the  EU  as  a  whole  is  taken  into 
account and maximised.  

Increase awareness and uptake of intellectual asset management practices and 
tools in Open Science to facilitate the use of results and data for innovation.  

Ensure  that  intellectual  assets  are  efficiently  managed  in  Open  Innovation 
processes  e.g.  by  helping  active  portfolio  building  and  supporting  platforms 
linking offer and demand for intellectual assets to maximise value creation for 
all involved.  

Relevancy in public funding schemes 

 

 

Ensure that government funding of R&I takes into account and strengthens the 
application of knowledge valorisation principles in the research to be funded. 

Consider specific funding schemes to complement research funding in order to 
ensure  that  valorisation  is  incentivised  early  on  in  research  with  guidance  on 
complementary funding opportunities for knowledge valorisation. 

Peer learning 

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 

 

 

 

 

 

Promote  and  support  national  and  transnational  peer  learning  processes  and 
practices  for  disseminating  and  encouraging  the  sharing  of  best  practices50, 
case  studies,  role  models, 
learned  and  developing  common 
specifications for knowledge valorisation. 

lessons 

Benchmark  successful  knowledge  valorisation  organisations,  ecosystems  and 
initiatives  in  order  to  develop  and  promote  common  concepts,  models  and 
incentives  to  serve  as  a  guide  for  assessing  and  implementing  knowledge 
valorisation management and processes. Also, use the expertise, networks and 
lessons  learned  from  relevant  organisations,  such  as  the  European  Union 
Intellectual Property Office, the European Patent Office, the Enterprise Europe 
Network,  EIT  and  their  Knowledge  and  Innovation  Communities  and  other 
international, European or national organisations. 

Encourage  universities  and  public  research  organisations  to  pool  their 
resources,  expertise,  data  and  infrastructure  across  disciplines,  countries  and 
regions to promote more peer-learning practices. 

Ensure that a sufficient number of indicators for knowledge valorisation reflect 
and  cover  the  inputs,  behaviour  and  outputs  of  the  valorisation  process, 
including  the  whole  range  of  channels  and  paths  for  valorising  knowledge. 
Make  sure  that  relevant  quantitative  and  qualitative  metrics  are  used  in 
defining the indicators. 

Promote  collaborative  efforts  to  adopt  common,  agreed  definitions,  metrics, 
and indicators to help improve the EU’s knowledge valorisation performance, 
taking into consideration the contextual differences among Member States and 
knowledge valorisation actors and specificities of different sectors.  

Encourage,  support  and 
incentivise  knowledge  valorisation  performing 
organisations  to  collect,  share  and  use  metrics  that  improve  learning  and  the 
performance of knowledge valorisation actors in the EU.  

Metrics 

Monitoring and evaluation 

 

 

Ensure that the monitoring and evaluation practices used to assess and evaluate 
knowledge valorisation operations are cross-cutting, take into account existing 
frameworks  and  consider  all  kinds  of  benefits  for  various  stakeholders  and  a 
variety  of  knowledge  valorisation  outcomes 
to 
sustainability. 

including  contribution 

Develop  further  knowledge  valorisation  monitoring  and  evaluation  tools  to 
gauge  the  progress  and  maturity  of  intellectual  assets  and  innovation  efforts 
during the knowledge valorisation process. These tools should address both the 
creation  of  value  and  its  contribution  to  the  transition  towards  a  sustainable 
society. Once it has been developed, promote the use of this model and develop 
synergies with other relevant ERA policy actions. 

50 

A  repository  of  best  practice  examples  is  available  on  the  knowledge  valorisation  platform  of  the 
European Commission which is continually open for submissions of new best practice examples. 

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The  Commission  Recommendation  of  10  April  2008  on  the  management  of  intellectual 
property in knowledge transfer activities and  the  Code of Practice for universities and other 
public research organisations is hereby repealed. 

Done at Brussels, 

For the Council 
The President 

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