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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 N o L 117, 8. 5. 1990, p. 28.** **(** **[2]** **) OJ N o L** **185715.** **7. 1988, p. 33.**

N o C 5 3 / 4 0 Official Journal of the European Communities 28. 2 . 9 1

_**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 5 7 million.

The amount includes staff costs, which may amount t o 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 9 0 / 2 2 1 /Euratom, EEC, this

Decision shall be adapted t o take account of the

abovementioned Council Decision.

3. The budgetary authority shall decide on the
appropriations available for each financial year.

_**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 t o the

Council and the European Parliament.

3. The reports shall be drawn u p having regard to. the
objectives set in Annex I t o 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 t o in Article 6(1), the

representative of the Commission shall submit t o the

Committee a draft of the measures t o be taken. The

Committee shall deliver its opinion o n the draft within a time
limit which the Chairman may lay down according t o 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 t o 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.

_**-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 t o
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 o n any
matter falling within the scope of the action.

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 t o
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 w h o carry out

the work.

(b) Knowledge which could be used in an industrial

application, if its nature justifies such a measure, shall be

protected t o 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, o r 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 t o the Community shall be made

available t o its co-contractors and t o interested third

parties established in the Community w h o can prove
that they need the knowledge and w h o undertake t o
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

**2 8 . 2 . 9 1** **Official Journal** **o f the** **European Communities** **N o C 5 3 / 4 1**

**its use,** **available** **t o the** **co-contractors** **and t o** **interested**

**third** **parties** **w h o** **satisfy** **contractually** **defined**

**conditions.**

**(e) T h e** **Commission shall ensure that knowledge suitable**

**for** **dissemination** **is** **disseminated** **or** **published either** **by**

**the** **Commission itself** **or b y its** **co-contractors, without**

**any** **restrictions other than those imposed** **b y the** **need** **t o**

**safeguard intellectual property, confidentiality** **o r**

**legitimate commercial interests.**

**2 .** **T h e** **Commission shall** **lay** **d o w n** **the** **arrangements** **for**

**implementing** **the** **rules laid d o w n** **in** **paragraph** **1.**

_**Article**_ _**8**_

**This Decision** **is** **addressed** **t o the** **Member States.**

_ANNEX_ _I_

AIMS AND C O N T E N T

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. O n 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.

**N o C** **5 3 / 4 2** **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 R O M 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** **N o 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:

N o C 5 3 / 4 4 Official Journal of t h e E u r o p e a n Communities 2 8 . 2 . 9 1

(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). T o 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** **N o C** **5 3 / 4 5**

_ANNEX_ _II_

INDICATIVE BREAKDOWN OF EXPENDITURE

_**as a**_ _**percentage**_

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.

**70/75**

**15/12**

**15/12**

**100/99**