Source: EURLEX
Language: en
Format: md

**Council of the**
**European Union**

**Interinstitutional File:**

**2022/0233(NLE)**

**PROPOSAL**

**Brussels, 16 August 2022**
**(OR. en)**

**11789/22**

**RECH 465**
**ERAC 7**
**PI 99**
**EDUC 290**
**COMPET 651**
**IND 314**
**MI 619**

From: Secretary-General of the European Commission, signed by Ms Martine
DEPREZ, Director

date of receipt: 9 August 2022

To: General Secretariat of the Council

No. Cion doc.: COM(2022) 391 final

Subject: Proposal for a COUNCIL RECOMMENDATION on the guiding
principles for knowledge valorisation

Delegations will find attached document COM(2022) 391 final.

Encl.: COM(2022) 391 final

11789/22 AS/VF/lv

## COMPET.2 EN

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**

# **EN EN**

**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 channels [1] 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 2021 [4] 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.

1       European Commission, Directorate [General for Research and Innovation, Research & innovation](https://data.europa.eu/doi/10.2777/480584)
[valorisation channels and tools : boosting the transformation of knowledge into new sustainable](https://data.europa.eu/doi/10.2777/480584)
[solutions, Publications Office, 2020.](https://data.europa.eu/doi/10.2777/480584)
2 COM(2020) 628 final.
3 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.
4 Council document 14308/21.

# EN 1 EN

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 Europe [5] and the EU Intellectual Property Action Plan [6], 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 Strategy [7] . In line with the
Commission Communication on A New European Innovation Agenda [8], 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 universities [9], the
European Education Area (EEA) [10] and the European Skills Agenda for sustainable
competitiveness, social fairness and resilience [11] . Furthermore, the guiding principles conform
to the Council conclusions on Research assessment and implementation of Open Science
adopted on 10 June 2022 [12] 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 administrations [13] and better regulation [14] .

**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.

5 COM(2020) 102 final and COM(2021) 350 final.
6 COM(2020) 760 final.
7 COM(2022) 31 final.
8 COM(2022) 332 final.
9 COM(2022) 16 final.
10 COM(2020) 625 final.
11 COM(2020) 274 final.
12 Council document 10126/22.
13 SWD(2021) 101 final.
14 COM(2021) 219 final.

# EN 2 EN

**•** **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
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

# EN 3 EN

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
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 2013 [15] 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 IPspecific 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
innovations [16], and knowledge circulation remains incoherent within the EU [17] . 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.

15       -       European Commission, Directorate [General for Research and Innovation, Barjak, F., Perrett, P., Es](https://data.europa.eu/doi/10.2777/31336)

_-_
Sadki, N., et al., _[Knowledge transfer study 2010](https://data.europa.eu/doi/10.2777/31336)_ _2012 : final report_, Publications Office, 2014.
16       European Commission, Directorate [General for Research and Innovation, Science, research and](https://data.europa.eu/doi/10.2777/520136)
[innovation performance of the EU, 2020 : 11 recommendations for a fair, green and digital Europe,](https://data.europa.eu/doi/10.2777/520136)
[Publications Office, 2021.](https://data.europa.eu/doi/10.2777/520136)
17       European Commission, Directorate [General for Research and Innovation,](https://data.europa.eu/doi/10.2777/118067) _ERA progress report 2018 :_
_[the European Research Area : advancing together the Europe of research and innovation](https://data.europa.eu/doi/10.2777/118067)_, Publications
[Office, 2019.](https://data.europa.eu/doi/10.2777/118067)
18 SWD(2020) 214 final.

# EN 4 EN

**3.** **RESULTS** **OF** **EX-POST** **EVALUATIONS,** **STAKEHOLDER**
**CONSULTATIONS** **AND** **IMPACT** **ASSESSMENTS**

**•** **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
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 stakeholders [19] .

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.

19 [European Commission, Directorate-General for Research and Innovation, Eerola, I.,](https://data.europa.eu/doi/10.2777/87803) _Stakeholder_
_[consultation on the guiding principles for knowledge valorisation : report of the results](https://data.europa.eu/doi/10.2777/87803)_, Publications
[Office, 2021.](https://data.europa.eu/doi/10.2777/87803)

# EN 5 EN

**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.

# EN 6 EN

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) 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 organisations [20] . The Council welcomed and
supported the Recommendation and the Code of Practice in its Resolution of 30 May
2008 [21] . 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] .

(2) The Council Conclusions on Accelerating knowledge circulation in the EU, adopted
on 29 May 2018 [23], 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.

(3) The Commission Communication ‘A New ERA for Research and Innovation’,
adopted on 30 September 2020 [24], includes strengthening innovation ecosystems for
knowledge circulation and valorisation as one of the key objectives of the new ERA

20 C(2008) 1329.
21 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.
22 COM(2010) 546 final.
23 Council document 9507/18.
24 COM(2020) 628 final.

# EN 7 EN

and an action to ‘Update and develop guiding principles for knowledge valorisation

’
and a code of practice for the smart use of IP .

(4) A New Industrial Strategy for Europe [25] 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 Plan [26] are ‘promoting effective
use and deployment of IP’ as well as ‘ensuring easier access to and sharing of IP
’
protected assets .

(5) The EU Strategy on Standardisation [27] 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.

(6) The Council Conclusions on ‘The New European Research Area’, adopted on 1
December 2020 [28], 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.

(7) The Council Recommendation ‘on A Pact for Research and Innovation in Europe’ of
26 November 2021 [29] 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.

(8) The ERA Policy Agenda for 2022-2024 annexed to the Council Conclusions on the
‘Future governance of the European Research Area’ of 26 November 2021 [30] 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.

(9) Open science [31] 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

25 COM(2020) 102 final and COM(2021) 350 final.
26 COM(2020) 760 final.
27 COM(2022) 31 final.
28 Council document 13567/20.
29 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.
30 Council document 14308/21.
31 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.

# EN 8 EN

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
Open Science Cloud. The final report of the Open science policy platform [33] 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 2022 [34] 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 2020 [35] 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 2021 [36] 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
’ [37] ‘
achieving the European Education Area by 2025, 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

32 Commission Recommendation (EU) 2018/790, OJ L 134, 31.5.2018, p.12.
33       European Commission, Directorate [General for Research and Innovation, Mendez, E.,](https://data.europa.eu/doi/10.2777/00139) _Progress on_
_[open science : towards a shared research knowledge system : final report of the open science policy](https://data.europa.eu/doi/10.2777/00139)_
_platform_ [, Lawrence, R.(editor), Publications Office, 2020.](https://data.europa.eu/doi/10.2777/00139)
34 Council document 10126/22.
35 COM(2020) 66 final.
36 COM(2021) 219 final.
37 COM(2020) 625 final.
38 COM(2022) 16 final.
39 COM(2020) 274 final.

# EN 9 EN

of citizens, as well as reciprocity in the management of intellectual assets in the
context of international R&I cooperation.

(14) The diversity of knowledge valorisation channels and tools [40] 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:

**G** **UIDING PRINCIPLES FOR KNOWLEDGE VALORISATION**

**C** **ONTEXT 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 organisations [41] .

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
knowledge [42] . 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

40 [European Commission, Directorate-General for Research and Innovation,](https://data.europa.eu/doi/10.2777/480584) _Research & innovation_
_[valorisation channels and tools : boosting the transformation of knowledge into new sustainable](https://data.europa.eu/doi/10.2777/480584)_
_solutions_ [, Publications Office, 2020.](https://data.europa.eu/doi/10.2777/480584)
41 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.](https://ec.europa.eu/invest-in-research/pdf/download_en/metcalfe_report5.pdf)
42 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.

# EN 10 EN

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,
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 creation [44] 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 results [45] . With the principle of ‘as open as possible and as
closed as necessary’ it is important to recognise that both Open Science and Open
Innovation [46] 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 methods [47] 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

43 Intellectual assets may also include the results and products of teaching activities where relevant.
44 OECD, _Making Open Science a Reality_, OECD Science, Technology and Industry Policy Papers, No.
25, OECD Publishing, Paris, 2015.
45       European Commission, Directorate [General for Research and Innovation,](https://data.europa.eu/doi/10.2777/347305) _Open science and intellectual_
_[property rights : How can they better interact? : state of the art and reflections : executive summar](https://data.europa.eu/doi/10.2777/347305)_ y,
2022.
46 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](https://data.europa.eu/doi/10.2777/061652)
for Research and Innovation, _[Open innovation, open science, open to the world : a vision for Europe](https://data.europa.eu/doi/10.2777/061652)_,
[Publications Office, 2016, p.13.](https://data.europa.eu/doi/10.2777/061652)
47 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.

# EN 11 EN

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
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, spinoffs, scale-ups and social enterprises

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

        - 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.

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**G** **UIDING 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
with the broadest possible societal use [48] in mind including contribution to sustainable society
in accordance with the EU guidelines for tackling R&I foreign interference [49] .

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 universitybased regional innovation ecosystems, as well as encouraging proactivity in start-ups, scaleups 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**_

48 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.
49       European Commission, Directorate [General for Research and Innovation, Tackling R&I foreign](https://data.europa.eu/doi/10.2777/513746)
[interference : staff working document, 2022.](https://data.europa.eu/doi/10.2777/513746)

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        - 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 inventors to professional
intermediaries, and from technology users to policymakers.

        - 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.

        - 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, implemented and publicised in all organisations involved in
knowledge valorisation.

        - 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.

# EN 14 EN

        - 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**_

        - Promote and support national and transnational peer learning processes and
practices for disseminating and encouraging the sharing of best practices [50],
case studies, role models, lessons learned and developing common
specifications for knowledge valorisation.

        - 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.

_**Metrics**_

        - 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.

50 [A repository of best practice examples is available on the knowledge valorisation platform of the](https://ec.europa.eu/info/research-and-innovation/research-area/industrial-research-and-innovation/eu-valorisation-policy/knowledge-valorisation-platform_en)
[European Commission which is continually open for submissions of new best practice examples.](https://ec.europa.eu/info/research-and-innovation/research-area/industrial-research-and-innovation/eu-valorisation-policy/knowledge-valorisation-platform_en)

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        - 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.

_**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 including contribution to
sustainability.

        - 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.

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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