Transcript Intellectual property An overview

CASIMIR workshop -- Milano, June 30, 2003
European universities in the
knowledge-based economy
Research & innovation aspects
European Commission – Research DG
Ir. Denis Dambois – European patent attorney
[email protected]
European Commission
Research DG
Research & innovation in U/PROs
 Innovation = interface between R&D and the actual exploitation of R&D results
 Why does it matter ?
– To address the “European paradox” (good science, poor exploitation)
– The purpose of R&D is not just to produce knowledge (paper) but also to have it
exploited  socio-economic benefits (new products, jobs, companies, …)
 Expectations from :
– universities (image, funding, proximity to market, incentives for researchers, …)
– industry, especially SMEs (core businesses / multidisciplinarity / ...)
– public authorities (ROI in publicly-funded research : local development, …)
 The intention is NOT :
– to shift efforts/resources away from fundamental research
– the undermine academic independence
– to turn universities into commercial businesses
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Research DG
European Commission
Italy vs. other countries
National R&D intensities vs. GDP per capita
4,0%
R&D intensity (Gross Domestic Expenditure
S
3,5%
on R&D -- GERD -- as a percentage of GDP),
against GDP per capita for year 1999.
R&D intensities span from 0.25% in Cyprus to 3.65%
in Sweden (1999).
FIN
3,0%
G
E
R
D
/
G
D
P
2,5%
D
F
2,0%
EU
DK
B
UK
A
NL
SI
1,5%
CZ
I
1,0%
EE PL
LT
0,5%
E
P
SK HU
IRL
EL
LV
CY
0,0%
0
5000
10000
15000
20000
25000
30000
GDP per capita (current € PPS)
R&D intensity by source of fund :
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Gross domestic expenditure on R&D
(GERD) as a percentage of GDP by
source of fund : government,
business sector, other national
sources and abroad
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Research DG
European Commission
Italy vs. other countries
Number of RSEs' average annual growth
rate (%,from 1995)
12
Share of RSEs (research
scientist & engineers) in
population vs. number of
RSEs' annual growth
EL
E
10
8
4
CZ
2
PL
0
-2
A
P
HU
6
0
B
NL
US
S
DK
EU
JP
D
UK
F
SK
2
1
FIN
IRL
3
4
5
6
7
8
SI
I
-4
-6
3
Share of RSEs in population (per thousand)
7.1
2.5
2
% 1.5
Share of R&D
personnel in labour
force, by sector
1
0.5
0
P
I
IRL
E
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Total R&D personnel
EL
A
F
Business enterprise
B
NL
Government
D
DK
S
High education
FIN
UK
EU
8.1
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European Commission
Research DG
Contents
 Political context (Lisbon strategy, …)
 Recent Commission Communication on
“The role of universities in the Europe of knowledge”
 The 3 % initiative -- Recent Commission Communication on
“Investing more in research : an action plan for Europe”
 “Research & innovation” aspects in these Communications
and in the 6th EC Framework Programme
 Next steps
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European Commission
Research DG
Political context
 Lisbon strategy : at the Lisbon European Council (2000), Heads
of State and Government set the Union the goal of becoming "the
most competitive and dynamic knowledge-based economy in the
world" by 2010
 Barcelona objective : at the Barcelona European Council (2002),
Heads of State and Government agreed that investment in European
R&D must be increased with the aim of approaching 3 % of GDP by
2010 (up from 1.9 % in 2000), with two-thirds of the total being
invested by industry
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European Commission
Research DG
“The role of universities
in the Europe of knowledge”
 Commission Communication adopted on 5.2.2003 (COM(2003)58)
 Main challenges -- both classical and new -- + questions
 Debate to be started :
This Communication … invites responses to these questions from all
those concerned with higher education, research and innovation
 Next steps :
The Commission will review the state of the debate in the summer of 2003
and identify suitable initiatives, possibly in a further Communication
• for examination by the Education Ministers in the Education Council and
the Research Ministers in the Competitiveness Council, as well as
• by the European Summit of Higher Education Ministers scheduled for 1819 September 2003 in Berlin
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European Commission
Research DG
“The role of universities
in the Europe of knowledge”
 “Classical” challenges :
– financing (public, private, …)
– professional management
– excellence (interdisciplinarity, critical mass, capitalization of K, …)
– mobility of students and researchers (fellowships, visas, …)
– brain drain in some countries
– contribution to local needs and strategies
– ageing of faculty staff
– lifelong learning
– ...
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European Commission
Research DG
“The role of universities
in the Europe of knowledge”
 Emergence of the “knowledge society” :
– new challenges :
•
•
•
•
•
•
increased demand for new knowledge (by industry : R&D results, ...)
rapid evolution (and depreciation) of the “state-of-the-art” knowledge
 increased demand for higher education
fragmentation / heterogeneity of the European U landscape
internationalisation / increased competition between Eur. universities
increased socio-economic impact expected by national/local authorities
– new opportunities :
•
•
•
•
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better awareness of the importance of knowledge by public authorities
restructuring of the European U landscape (networking, etc.)
development of cross-border attractiveness (for students and industry)
closer university-industry relations
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European Commission
Research DG
“The role of universities
in the Europe of knowledge”
 “The knowledge economy and society stem from the
combination of four interdependent elements : ”
Research
Production of K
Dissemination
DisseminationofofKK
Dissemination
Education
Transmission of K
Dissemination
Innovation
Use of K in
technological innovation
 Today’s 3 missions of European universities :
“they are situated at the crossroads of research, education and innovation”
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European Commission
Research DG
“The role of universities
in the Europe of knowledge”
 Develop effective and close co-operation between universities
and industry
–
–
–
–
–
–
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innovation
start-up of new companies
licensing of university intellectual property
promotion of effective university-industry relations
better exploit the results of their knowledge in relationship with industry
evaluation criteria for the performance of universities
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European Commission
Research DG
“More research for Europe
Towards 3 % of GDP”
 Commission Communication adopted in Sept. 2002 (COM(2002)499)
 Second Communication “Investing in research : an action plan for
Europe” adopted in April 2003 (COM(2003)226)
 Wide range of policies to be mobilised in a coherent way
 Limited number of actions to be implemented :
– by the Commission
– by the Member States and stakeholders
 Open process of co-ordination :
monitoring, reporting and benchmarking process which will :
– facilitate mutual learning between Member States in their actions to
increase and improve R&D investment
– help increasing the effectiveness of these actions by ensuring, on a
voluntary basis, greater consistency with each other and with related
Community actions
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European Commission
Research DG
The 3 % objective
 Human resources implications :
– about 1.2 million additional research personnel, including 700 000
additional researchers, are considered necessary to attain the objective,
on top of the expected replacement of the ageing workforce in research
– this will imply greater efforts in order :
• to attract a sufficient number of world-class researchers in Europe
• to make research more attractive to various categories of the
population, especially women
• to reduce losses at the various stages of education and all along the
career, including at the most experienced stage
• to increase the number of teachers
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European Commission
Research DG
The 3 % objective
 Feedback concerning the first Communication (R&I aspects) :
 Need to promote the actual exploitation of R&D results :
 “the transfer of the research results to the market place should be improved”
 "need to provide appropriate channels to transform academic research into applied
R&D and ultimately innovative and competitive products”
 “Governments ought to look at ways to improve science-industry links. This needs
to include increasing the use of research to meet industrial and social needs, …. In
addition, it might include the promotion of a more entrepreneurial culture in
universities …”
 call for the “creation of more technology transfer offices”, and for “financial
incentives for the creation of high-tech spin-offs”
– Need to promote awareness on entrepreneurship / tech transfer / …
– Need to take R&D exploitation into account in assessment processes
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European Commission
Research DG
The 3 % objective
 Feedback concerning the first Communication (R&I aspects) :
– Need to promote awareness on entrepreneurship / tech transfer / … :
• "give researchers in academia and industry training in entrepreneurial skills”
• "provide public funding to selected business schools for developing curricula
especially geared towards training of researchers in entrepreneurship"
• "In general, the European institutional awareness of technology transfer is less welldeveloped than in the US"
 Need to take R&D exploitation into account in assessment processes :
 "the existing system of assessing and financing academic research mainly on the
basis of scientific output (publications, etc.)" is detrimental to industrial R&D, and it
is important to "give researchers in academia proper recognition for cooperating
with industry "
 “evaluation ought to take into account a variety of outputs which recognise other
university activities, such as knowledge transfer and links with industry, particularly
SMEs, …”
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European Commission
Research DG
The 3 % action plan
 Public research base and its links to industry (§ 4.2) :
– Need to foster mobility between the academic world and industry
(on-going action mentioned in § 6.1 : “Use of existing instruments in the research
framework programme to support temporary exchanges of technology transfer
professionals between research organisations”)
– Increase the participation of industry and other stakeholders in the determination of
priorities for public research
– Pursue or initiate necessary regulatory and administrative reforms to enable
public research institutions to develop more effective links with industry,
while safeguarding their public mission in education and fundamental research.
Issues to address include notably the establishment of incubators, science parks,
seed funds and new types of public-private partnerships, as well as the
performance appraisal of researchers
– Benchmark at European and national level the achievements of public
research institutions as regards patenting, licensing, spin-off activities and
partnerships with industry, in order to share information and promote best practice
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European Commission
Research DG
The 3 % action plan
 Public research base and its links to industry (cont’d) :
– Develop European guidelines for the management and exploitation of intellectual
property rights in public research institutions and public-private partnerships.
These guidelines will help public research institutions to develop and enforce, on a
voluntary basis, charters setting out the main principles to be applied regarding e.g. the
ownership and licensing of research results, the sharing of revenues, etc.
 Intellectual property (§ 6.1) :
 Develop guidelines to help Member States review – and, where appropriate, adapt
– their national regimes governing the ownership, licensing and exploitation of
IPR resulting from publicly-funded research
 Support EU-wide coordinated IPR awareness and training activities targeting in
particular the European research community
 Ensure that before graduating, every student – especially from science, engineering
and business schools – receives basic awareness/training regarding intellectual
property and technology transfer
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European Commission
Research DG
The 3 % action plan
 Shaping a common vision for the development and deployment
of key technologies (§ 3.2) :
– European technology platforms will provide a means to foster effective publicprivate partnerships involving as appropriate public research, industry, financial
institutions, users, regulatory authorities and policy-makers, and this will deliver
the impetus to mobilise the research and innovation effort and facilitate the
emergence of “lead markets” in Europe
– Commission Communication on Technology Platforms being prepared
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European Commission
Research DG
Innovation in the 6th Framework Programme
 Participation rules :
– Where knowledge is capable of industrial or commercial application, its owner shall
provide for its adequate and effective protection ...
– The contractors shall use or cause to be used the knowledge arising from the
project, which they own, in accordance with their interests. The contractors shall set out
the terms of use in a detailed and verifiable manner, notably in the plan for using and
disseminating the knowledge ...
– If dissemination of knowledge would not adversely affect its protection or its use, the
contractors shall ensure that it is disseminated within a period of two years after
the end of the project .
 “Integration” does not mean anything if knowledge is not integrated
(i.e. properly managed, shared, … by all participants) 
revised IPR provisions
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European Commission
Research DG
Innovation-related evaluation criteria in FP6
 Participation rules :
“The proposals for indirect actions ...… shall be evaluated according to the
following criteria, where applicable : …...
(e) quality of the plan for using and disseminating the knowledge, potential
for promoting innovation, and clear plans for the management of intellectual
property.”
 More specific criteria : “Extent to which :
• the innovation-related activities and exploitation and/or dissemination plans
are adequate to ensure optimal use of the project results ;
• the objectives represent clear progress beyond the current state-of-the-art ;
• the proposed S&T approach is likely to enable the project to achieve its
objectives in research and innovation ;
• there is a satisfactory plan for the management of knowledge, of intellectual
property and of other innovation-related activities.”
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European Commission
Research DG
Innovation-related activities in FP6
 Purpose :
promoting the dissemination and actual exploitation
of the projects’ results
 Variable relevance for different types of projects
 Examples :
 intellectual property protection and management
 dissemination activities (beyond the consortium)
 studies on socio-economic aspects
(impact, factors that could influence exploitation, …)
 activities promoting the exploitation of the results: “plan for using
and disseminating the knowledge”, feasibility studies, "take-up"
activities (validation, …), analysis of potential hurdles (standards, third
parties’ patents, …)
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European Commission
Research DG
Innovation & reporting in FP6
 The indirect actions to which the Community contributes shall be periodically
evaluated by the Commission on the basis of progress reports which shall also
cover the implementation of the plan for the use or dissemination of knowledge
submitted by the participants in accordance with the terms of the contract
(Rules of participation, Art. 18.1)
 The consortium shall submit the following reports to the Commission for each
reporting period :
• a) a periodic activity report containing an overview of the activities carried
out by the consortium during that period, … . An updated plan for using
and disseminating the knowledge shall be included as a separate part of
this report ; ...
 Final reports shall additionally comprise:
• … the final plan for using and disseminating the knowledge ...
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European Commission
Research DG
SMEs in FP6
 2 specific types of projects (“instruments”) :
– cooperative research projects (SMEs + RTD performers)
– collective research projects (enterprise groupings + RTD performers)
(“enterprise grouping” means any legal entity made up for the most part of SMEs and
representing their interests)
 Particular IPR provisions :
– usual RTD projects :
knowledge belongs to the participants which generated it
– SME-specific projects :
• knowledge belongs to the SMEs / SME groupings
• joint property, with a requirement to agree on the allocation and on the
terms of exercising the ownership of the knowledge
(e.g. in a consortium agreement)
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European Commission
Research DG
Summary -- Next steps
 Debate about the Communication on the role of universities 
identification of suitable initiatives (for discussion at the European Summit of
Higher Education Ministers in September 2003, ...)
 Implementation of the 3 % action plan (esp. issues relating to “Human
resources” and to “Public research base and its links to industry”)
 Implementation of FP6
 Forthcoming Communications on :
– researcher careers
– technology platforms
– measures on the conditions of entry and stay of researchers from third countries
in the EU
– ...
 On-going and new activities : Proton network, expert group on the financing of
universities, expert group on university-industry relations, ...
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European Commission
Research DG
Take-home messages
 At universities, the exploitation of R&D results should be
given the same importance as their publication
 Universities and industry are natural partners,
even if their goals and cultures are different
 Professional management of knowledge and IPR is
as important for universities as for companies
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European Commission
Research DG
Contribute to the debate on universities
http://europa.eu.int/comm/research/consultations/list_en.html
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European Commission
Research DG
Read more on the 3 % action plan
http://europa.eu.int/comm/research/era/3pct
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European Commission
Research DG
For more information / assistance
 Various organisations offer support services which may be of use
regarding innovation and intellectual property, including :
 The IPR-Helpdesk (http://www.ipr-helpdesk.org)
 The Cordis Marketplace (http://www.cordis.lu/marketplace)
 The Gate2Growth project (http://www.gate2growth.com)
 The Innovation Relay Centres network (http://irc.cordis.lu)
 General information on FP6 may be found on Commission website :
 http://europa.eu.int/comm/research/fp6/index_en.html
 http://europa.eu.int/comm/research/fp6/instruments_en.html
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THE END
Thank you
Discussion