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N. 16, Aug.-Sept. 2004
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 | IP & RTD: Articles
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How to draw up a convincing plan for the use and dissemination of knowledge
Marie-Louise Hoffmann
Institute for Information, Telecommunications and Media Law (ITM)
University of Muenster
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By means of different 'innovation-related activities', including developing a plan on intended protection, use and, where appropriate, dissemination of knowledge under the 6th Framework Program (FP6), participants in indirect measures are obliged to promote the use and dissemination of the research results. This applies to each phase of the project, starting from the submission of the proposal, and ending after the termination of the project. Therefore, project partners are strongly encouraged to plan the economic exploitation of their generated research results ('knowledge'). The exploitation and dissemination of knowledge does not only serve participants' own interests but also has economic, technological and social benefits for industry and society as a whole. Therefore it is necessary for this plan to show the value of the results on a European level, which goes beyond the level of the participants concerned. The costs of innovation-related activities, and thus, the development of a plan for use and dissemination, may be eligible for reimbursement.
When submitting proposals, future participants already have to draft a first version of their plan for use and dissemination. This has to show how the research results will be made capable of application and exploited. The quality of this plan is an important criterion for the European Commission when evaluating proposals1. In the associated Guidelines for Proposers for each call you will find details on to what extent evaluation will be influenced by the submitted plan for the use and dissemination of the expected research results; and which points the proposers specifically have to take into account.
Throughout the execution of the project, this plan has to be adapted to current developments. Participants of indirect measures are obliged to regularly submit a detailed and verifiable2 version of the plan for the use and dissemination of the knowledge generated within the framework of the ongoing project. The updated plan should also mention to what extent the objectives set in the previous version were achieved, and how and why any potential targets were missed. Furthermore, upon termination of the project, the contractors have to provide a final plan summarising the work, aims, results and consequences of the use and dissemination3. These adapted plans are to be submitted as separate parts of the regular progress reports and the final report to the European Commission. They serve as a basis for the scientific, technological and financial control and evaluation of the project by the Commission4. Meanwhile, the partners should be aware that by describing the steps they intend to take for the protection, use and dissemination of the research results, they create additional commitments towards the EC.
The obligation under FP5 to develop a so-called Technological Implementation Plan (TIP) towards the end of a project no longer exists under FP6. Its purpose is now completely met by the above-mentioned reporting duties and the arrangements under the consortium agreements. Correspondingly, partners cannot fall back on a uniform model5.
As regards the content of the plan, participants have to comply with the participation rules and the project contract. This means: protection and use of the knowledge are the primary target; only if these are not affected are participants obliged to disseminate the knowledge within the deadline set out by the European Commission.
Also, the detailed agreements contained in the consortium agreements on protection, use, and the dissemination of knowledge provide the framework for the plan for the use and dissemination of knowledge6. Contractual stipulations on the generation and allocation of the joint ownership of research results, the transfer of responsibility for IP management to one partner or a third party, the filing of the application for protection rights, and the granting of licenses, finally establish the framework for the plan.
For instance, according to the project concerned, the plan for use and dissemination should provide information on:
- What exactly does the knowledge consist of (results including information and protection rights)?
- What needs do the results respond to? What is the potential field of application and in what way can the results be used (commercially, socially or scientifically)?
For example, if the results can be of benefit to additional economic, ecological or 'quality of life' uses, these benefits should be shown in a detailed way, as well as how they might influence other social projects. Furthermore, you should discuss - where appropriate - how the results of basic research can lead to applied research. Where participants have developed a laboratory prototype they should provide information on how much additional financial and human resources would be needed to develop an industrial prototype. If the development is still at a pre-series stage, risks that could arise by up-scaling production should be clearly described.
- What are the consortium's intentions to exploit and use the knowledge like and how should these obligations be carried out?
The partners should describe which partner is responsible for the dissemination and use of the results (manufacturing, selling and marketing, further research, filing for the application of protection rights in each state, licensing, etc.). If the partners intend to carry out dissemination and use by / with the support of third parties, necessary information to attract potential co-operation partners should be given. In case the project partners plan to set up a new company for the exploitation or dissemination of the knowledge (e.g., because the contractors have generated joint ownership of certain knowledge), providing information on the purpose of the planned exploitation, its legal form (Ltd., GmbH, etc.) as well as on the execution of the IPR management (bundling of rights), makes sense.
Finally, the consortium should consider that the information contained in the plan can be used as a basis for drafting further co-operation agreements, for example if it is in need of additional resources and expertise to fully use and disseminate the knowledge. Furthermore, the plan could serve as a business concept for acquiring further funding for the project (for instance, venture capital, bank loans, national state-aid, or further funding from European programmes).
1.
Art. 10 (1) e) of Regulation (EC) 2321/2002, the "participation rules".
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2.
Cf. Art. 23 (1) of the participation rules as regards to the use of knowledge.(«)
3.
Annex II of the model contract, II. 7.
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4.
Art. 18 (1) of the participation rules.(«)
5.
Such as the eTIP provided by the European Commission for FP5 projects, available at etip.cordis.lu.(«)
6.
Cf. non-binding Guidelines for a consortium agreement ('Checklist for a Consortium Agreement'), published by the European Commission under Art. 12 (5), Document Reference MS/AS 2002/0.
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