Explanatory Memorandum to COM(2022)391 - Guiding principles for knowledge valorisation - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2022)391 - Guiding principles for knowledge valorisation. |
|---|---|
| source | COM(2022)391  |
| date | 09-08-2022 |
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.
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.
• 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 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 i 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 IP-specific policies, such as the National IP Protocol in Ireland. Despite these achievements, the EU is still lagging behind its global competitors in turning science-based ideas into 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.
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.
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.