CELEX: 51990PC0611
Language: en
Date: 1991-01-25
Title: 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

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 T H E EUROPEAN COMMUNITIES,                            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
Having regard to the Treaty establishing the European
                                                                      private contracting parties and of the rights linked to the
Economic Community, and in particular Article 130q (2)
                                                                      obtaining and exploitation of the results, as well as their
thereof,
                                                                      exploitation in conformity with the Community's interests,
                                                                      in particular with respect to its economic and social
Having regard to the proposal from the Commission,                    cohesion;
                                                                      Whereas, in order to improve the insertion of Community
In cooperation with the European Parliament,                          research into a broader context and to optimize the
                                                                      utilization of the knowledge which results from it, it is
Having .regard to the opinion of the Economic and Social              important that the centralized action should both intensify its
Committee,                                                            emphasis on the research-industry interface and widen its
                                                                      scope to the research-science and research-society
                                                                      interfaces;
Whereas Article 130g (c) of the Treaty states that the
Community, complementing the activities carried out in the            Whereas an estimate should be made of the amount of
Member States, is to carry out activities for the                     Community financial resources needed to carry out this
'dissemination and optimization of the results of activities in       action; whereas the definitive amounts will be fixed by the
Community research, technological development and                     budgetary authority in line with the financial perspectives
demonstration';                                                       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
Whereas the second paragraph of Aricle 130k of the Treaty
                                                                      1994;
stipulates that the Council shall define the detailed
arrangements for the dissemination of knowledge resulting
from the specific programmes;                                         Whereas the Scientific and Technical Research Committee
                                                                      (Crest) has delivered its opinion,
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        HAS ADOPTED THIS DECISION:
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';                             I. Definition and implementation                of the centralized
                                                                                                           action
Whereas by Decision 9 0 / 2 2 1 /Euratom, EEC (*), the
Council adopted a third framework programme for                                                          Article 1
Community activities in the field of research and
technological development (1990 to 1994), specifying inter            1.      The dissemination and exploitation of knowledge shall
alia the activities to be pursued for developing the scientific       be carried out as part of the specific programmes and by
knowledge and technical know-how needed by the                        means of a centralized action.
Community, and providing that the detailed arrangements
for the dissemination of the knowledge gained, in particular          2.      The centralized action, as defined in Annex I, shall
the definition and the implementation of the centralized              ensure overall coordination and cohesion in the field covered
action, should be the subject of a Council Decision;                  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
Whereas it is necessary to ensure the coherence of schemes for        framework programme (1990 to 1994) and 31 December
disseminating the knowledge resulting from specific                   1994.
(>) OJ N o L 117, 8. 5 . 1990, p. 28.                                 ( 2 ) OJ N o L 1 8 5 7 1 5 . 7 . 1988, p. 3 3 .
 ---pagebreak---  N o C 53/40                                      Official Journal of t h e E u r o p e a n Communities                                         28. 2. 91
                                     Article 2                                                                      -Article 6
 1.       T h e a m o u n t of Communi t y expenditure deriving f r o m           1.        T h e procedure laid d o w n in Article 5 shall apply t o :
 the levies o n t h e sums considered necessary f o r t h e specific
 programmes, with a view t o t h e implementation of the                          — t h e evaluation of t h e projects p r o p o s e d , a s well a s t h e
 centralized action established b y this Decision, is estimated at                      estimated a m o u n t of t h e Community's financial
 E C U 5 7 million.                                                                     contribution,
T h e a m o u n t includes staff costs, which m a y a m o u n t t o a             — the definition of t h e confidentiality criteria applicable t o
m a x i m u m of 6% . A n indicative b r e a k d o w n of expenditure is               t h e dissemination of t h e results,
set o u t in An n e x II.
                                                                                  — t h e precise implementing arrangements resulting f r o m
2.         Should the Council take a decision in implementation                         agreements concluded with n o n - C o m m u n i t y countries,
of Article 1 (4) of Decision 9 0 / 2 2 1 / E u r a t o m , E E C , this
Decision shall b e adapted t o t a k e account of the                             — measures f o r evaluating t h e action.
abovementioned Council Decision.
                                                                                  2.       T h e Commission m a y consult t h e Committee o n a n y
3.        T h e budgetary authority shall decide o n                 the
                                                                                  matter falling within t h e scope of t h e action.
appropriations available f o r each financial year.
                                     Article 3
                                                                                                           II. General provisions
 1.        Before t h e end of 1 9 9 2 t h e Commission shall review
the action a n d address a report o n the results of the review t o
the Council a n d t h e European Parliament, together with
                                                                                                                    Article 7
proposals f o r any necessary changes.
2.        A t t h e end of t h e action the Commission shall assess the           1.       T h e dissemination a n d exploitation of knowledge
results obtained. It shall address a report thereon t o the                      resulting f r o m t h e Community's specific research a n d
Council a n d t h e E u r o p e a n Parliament.                                  technological, development programmes shall be subject t o
                                                                                 t h e following rules:
3.        T h e reports shall be d r a w n u p having regard to. the
objectives set in A n n e x I t o this Decision and in accordance                (a) T h e knowledge resulting f r o m w o r k undertaken directly
with Article 2 (4) of Decision 9 0 / 2 2 1 / E u r a t o m , E E C .                     o r financed wholly by t h e C o m m u n i t y shall be t h e
                                                                                         property of t h e C o m m u n i t y .
                                                                                         T h a t resulting f r o m w o r k under a shared-cost contract
                                    Article 4                                            shall b e t h e property of t h e contractors w h o carry o u t
                                                                                         the work.
T h e Commission shall b e responsible f o r t h e execution of the
action..It shall b e assisted by a committee of a n advisory                     (b) Knowledge which could b e used in a n industrial
n a t u r e , hereinafter referred t o a s 'the Committee', composed                     application, if its n a t u r e justifies such a measure, shall be
of the representatives of t h e M e m b e r States a n d chaired by                      protected t o the extent required in t h e light of t h e
t h e representative of t h e Commission.                                                interests of t h e Community a n d its co-contractors a n d in
                                                                                         accordance with any applicable legislation o r
                                                                                         conventions.
                                    Article S                                    (c) T h e C o m m u n i t y a n d its co-contractors shall exploit t h e
                                                                                         knowledge in their possession, o r have it exploited, in
1.        In t h e cases referred t o in Article 6 ( 1 ) , the                           conformity with t h e Community's interests, a n d taking
representative of t h e Commission shall submit t o the                                  full account of the objective of strengthening economic
Committee a d r a f t of t h e measures t o b e taken. T h e                             and social cohesion in t h e C o m m u n i t y .
Committee shall deliver its opinion o n t h e d r a f t within a time
limit which the C h a i r m a n m a y lay d o w n according t o the              (d) Knowledge belonging t o t h e C o m m u n i t y shall be m a d e
urgency of t h e m a t t e r , if necessary b y taking a vote.                           available t o its co-contractors a n d t o interested third
                                                                                         parties established in t h e C o m m u n i t y w h o can prove
2.        T h e opinion shall b e recorded in the minutes; in                            t h a t they need t h e knowledge a n d w h o undertake t o
addition, each M e m b e r State shall have the right t o ask t o                        exploit it o r have it exploited in conformity with t h e
have its position recorded in the minutes.                                               Community's interests. Such provision of knowledge
                                                                                         m a y be subject t o appropriate conditions, particularly
3.        T h e Commission'shall t a k e t h e utmost account of the                     concerning t h e payment of fees.
opinion delivered b y t h e Committee. It shall inform t h e
Committee of the m a n n e r in which its opinion h a s been taken                       All contractors shall m a k e t h e knowledge in their
into account.                                                                            possession, together with any information necessary f o r
 ---pagebreak--- 28. 2. 91                                             Official Journal o f t h e E u r o p e a n C o m m u n i t i e s                                     N o C 53/41
     its u s e , available t o t h e co-contractors a n d t o interested                         safeguard intellectual property,                    confidentiality o r
     third       parties      who      satisfy     contractually        defined                  legitimate commercial interests.
     conditions.
                                                                                          2.      T h e C o m m i s s i o n shall l a y d o w n t h e arrangements f o r
                                                                                          implementing t h e rules laid d o w n i n paragraph 1 .
(e) T h e C o m m i s s i o n shall ensure t h a t k n o w l e d g e suitable
     f o r dissemination i s disseminated o r published either b y
                                                                                                                              Article     8
     t h e C o m m i s s i o n itself o r b y its co-contractors, w i t h o u t
     a n y restrictions other t h a n t h o s e i m p o s e d b y t h e n e e d t o       T h i s D e c i s i o n is addressed t o t h e M e m b e r States.
                                                                                    ANNEX  I
                                                                         AIMS A N D C O N T E N T
                  T h e general aim of the centralized action for the dissemination and exploitation of knowledge resulting f r o m
                  Community research activities, carried out under this programme, is t o give specific added value t o the R & D
                  activities which are the subject of the third framework programme for 1990 t o 1994. O n the one h a n d , it provides
                  the necessary continuity for some of the measures carried o u t under the Value programme; o n the other, it
                  introduces new topics concerned particularly with the repercussions of research and technological development
                  activities and their Tesults o n society as a whole.
                  This centralized action is t o be conducted in accordance with the following guiding principles.
                  (a) Horizontally
                        Measures t o publish and utilize research results must apply t o 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 t o come u p with scenarios and strategies f o r future
                        research.
                  (b) Internal complementarity
                        T h e centralized action does n o t rule o u t , in fact t o some extent it presupposes, measures taken within each
                        specific programme t o promote the dissemination of the results. It supplements and coordinates the measures
                        taken under specific programmes. It also concentrates o n activities requiring special infrastructure
                        (computerized information systems, a network of'relay stations', etc.) or special capabilities for transferring
                        know-how t o fields of activity in other disciplines.
                  (c)   Subsidiarity
                        T h e 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,
                        t o establish a single space f o r the utilization and transfer of the technologies and the know-how obtained f r o m
                        research a n d technological development.
                  As far as the content of the present programme is concerned, those measures already launched t o forge closer links
                  between research and industry will be supplemented by other new measures designed t o forge closer links between
                  research and society and between research and the scientific community. These are measures which reflect the new
                  scientific a n d technological objectives and constraints set by society and its institutions, and the increasing interest
                  in an interdisciplinary approach t o research and technological development activities. A t this stage, and n o w that
                  its activities are more developed, this centralized action will incorporate these new topics into its conceptual and
                  operational framework.
                  1. Research — industry interface
                  T h e aim is t o help t o improve the international competitiveness of Europe's industry in accordance with the
                  provisions of the E E C Treaty by means of specific projects designed t o maximize the impact of Community R & D
                  activities o n industry as a whole. It is u p t o companies, first and foremost, t o make good use of the results.
 ---pagebreak--- N o C 53/42                                   Official Journal of the European Communities                                             28. 2. 91
            Cooperation between universities and industry is encouraged within the framework of specific programmes. T h e
            centralized action will help organizations involved in Community R & D projects t o protect their findings, but a t
            the same time t o exploit and promote them. T h e following measures are proposed.
            A. New channels of information for companies
                 A network of 'relay stations' will be set u p t o 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 t o Community information and will be able t o tailor this information t o 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, t o enter into contact
                 with centres of excellence.
                 T h e relay stations will have a role t o 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 t o define their Community strategy and
                 t o find, and negotiate contracts with, partners). Downstream, they will help with the centralized action t o
                 publish and utilize research results consolidating links between the companies and laboratories requiring
                 information at local o r national level and the supply of information at Community level (by organizing
                 targeted dissemination projects and information and training campaigns).
                 T h e scientific, technical and industrial community will help t o select the relay stations in the Member States
                 and t o define their specific tasks. In order t o 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 u p by allocating more resources t o it within the framework of the
                 centralized action. After 1993, the aim of the centralized action will be t o update and add t o Cordis data in
                 order t o ensure that there is n o breakdown in the service. T h e service will have t o provide new functions and
                 continue t o expand by including other sources of information. T h e proposed pattern of development will
                 include: making the service more user-friendly; extending the service by integrating other databases f r o m
                 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.
                 T h e 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 t o information services.
            B.   Utilization of results
                This action, which was already started in the Value programme, should be extended t o 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 a n d , where
                 needed, helping t o utilize the results of research and development projects undertaken o n a shared-cost basis.
                 In the latter case, the aim will be t o help contractors w h o d o n o t have sufficient expertise, in particular the
                 universities and SMEs, t o take advantage of the results of their research and development w o r k .
                T h e work t o 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 t o
                develop and target utilization plans, — finding licensees especially for the J R C a n d , more generally, parties
                interested in utilizing results, — providing adequate financial support for studies o r tests and experimental
                developments.
                This work will be carried o u t with the help of outside experts and competent organizations in the Member
                States.
            C . Protection of results
                T h e protection of results belonging t o 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 J R C . T h e actions described below, which have already been started in the Value programme, will be
                developed more intensively by the centralized action.
 ---pagebreak--- 28. 2. 91                                    Official Journal of the European Communities                                              N o C 53/43
               Those universities, research centres and SMEs which d o not have a patents department will, o n request, be
               provided with aid by the centralized action. It will supply expertise o n patents and financial support limited t o
               the costs of searches for prior claims t o novelty and first patent applications.
               Public awareness campaigns can also be organized o n 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 t o the promotion
               of results a n d , in general, for organizations within a transnational network set u p in order t o facilitate,
               promote and coordinate access t o Community programmes; organization of seminars, conferences and other
               means of communication, including in association with the respective bodies in the Member States a n d , in
               particular with the 'relay stations'; attendance at trade fairs. Specific activities are planned t o provide
               economic and social cohesion in countries where dissemination and utilization structures d o n o t exist o r are
               still in their infancy.
          2 . Interface between research and the scientific community
          T h e objective of the activities under this heading is t o contribute t o the inter-disciplinary reflection already
          underway about research, and the methods, problems and position of research in the whole range of human
          activities. T h e actions in question open a new chapter o n 'research o n research'. They will involve inter-disciplinary
          contributions and will be structured around the four following axes:
          A . Institutions     of research
               T h e aim is t o apply the disciplines of law, political sciences, social and human sciences t o a series of aspects of
                R & D . In particular, the following topics will be studied: questions of intellectual property and other civil law
                a n d public law aspects; ethics; history and comparative analysis of public and private research structures;
                international rules o n scientific and technological information, especially with regard t o the constraints o r
                opportunities for the optimal dissemination and exploitation of knowledge resulting f r o m specific
                programmes.
          B.    Communication        of research
               T h e objective is t o apply findings in certain disciplines, such as logic, semiotics, epistemology and cognitive
                sciences, t o the analysis and development of the communication of research. This will involve, in particular:
                the transfer of scientific and technological know-how t o the various classes of user; scientific language in
                relation t o external variables of a socio-cultural nature; the aspects of communication which, by using
                transcriptional and translational models, allow an interdisciplinary fabric t o be constructed which covers the
                wealth of scientific and technological knowledge.
          C . Economics        of research
                Macroeconomic instruments and business sciences must be used t o determine the optimum use of resources t o
                be channelled into research as part of general economic development objectives and company objectives. T h e
                economic and econometric bases must also be provided for research investment policies, in particular with
                reference t o 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 t o 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 t o project management, administrative procedures and methods of management. Particular
                attention will be paid t o subjects relating t o decentralized management and making more efficient use of
                human resources in the departments which manage research. Comparative studies will be conducted o n the
                different management models used by university and industrial research institutes.
                From a n operational point of view, measures t o consolidate links between research a n d the scientific
                community will take three forms:
 ---pagebreak--- N o C 53/44                                  Official Journal of t h e E u r o p e a n Communities                                       28. 2. 9 1
                  (a) support for studies and research by institutes and academics in the four subject areas described above,
                       usually according t o the additional costs formula;
                  (b) contributions t o studies, monographs, theses and articles, according t o special selection procedures;
                  (c) contributions t o conferences and other academic events.
            3 . Interface between research and society
            This heading covers measures designed t o identify and study the impact o n society of the new scientific and
            technological knowledge acquired as a result of Community activities. T h e aim is t o spread scientific know-how
            widely through Europe. This is a new and essential component of the centralized action, the aim being t o make
            changes in the contemporary approach t o science compatible with future plans for o u r society.
            This reflects the more mature and at the same time more critical attitude n o w being adopted by the public. There is
            an increasing reluctance t o accept implicitly the principle that scientific and technological progress is a priori and in
            every case beneficial t o m a n aiid society.
            T h e centralized action can help better t o direct the Community's R & D policy by paying particular attention t o the
            areas where interaction between science and technology o n the one hand and society o n 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 t o ensure that this procedure works effectively, close
            links will have t o be forged across the board with the specific study programmes developed prior t o the policy
            making process. T h e 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 t o the exploitation of new
                  technologies affecting health, safety, and the environment, but also ethical and legal questions relating t o 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 w h o 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 t o provide
                 information for the public. Special use will be made of the relay stations mentioned above. T h e 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 t o 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 t o the standard of living and the quality of life, as well as in terms of the need t o provide greater
                 production and economic opportunities in a coherent Community context.
 ---pagebreak--- 28. 2. 91                             Official Journal of the European Communities                                         N o C 53/45
                                                            ANNEX    II
                                      INDICATIVE BREAKDOWN OF EXPENDITURE
                                                                                                           as a percentage
          Research-industry interface                                                                              70/75
          Research-scientific community interface"                                                                  15/12
          Research-society interface                                                                                15/12
                                                                                                                  100/99
          The above amounts include administrative and staff costs.
          Despite this breakdown into different areas, projects may nevertheless fall under several areas.