N. 8, April - May 2003 
IP & RTD: Articles 

Where do they want you to go these days, alma mater?


Universities in the European Research Area and under the Sixth Framework Programme
Philip Trillmich
Legal Team, IPR Helpdesk, University of Alicante
 
European Universities have risen to numerous challenges throughout their history. Now they are faced with the major challenge of finding a place in the widely-anticipated knowledge-based society. The latter is to be based on the following pillars: generating knowledge through research, its transmission and dissemination through teaching and through information and communication technologies, and its use in products and serv-ices. Universities, already creating, transmitting and disseminating knowledge by tradi-tion, are now required to fulfil an essential role in the knowledge-based society and, in particular, to be more heavily involved in knowledge use1 .

The objective set by the Lisbon European Council (March 2000) of making the Euro-pean Union the most competitive and dynamic knowledge-based economy in the world by 20102 , has served to orientate the vision of the knowledge-based society at European level. In order to meet the Lisbon objective, a series of initiatives have been embarked upon, including those aimed at creating a "European Research Area" ("ERA"). Based on a common European research policy, this consists of a structured area of free move-ment of knowledge, researchers and technology with the aim of increasing co-operation and the more effective allocation of resources3 . The Sixth Framework Programme ("FP6"), the main European instrument for funding research and technological devel-opment ("RTD") for the benefit of Europe and its citizens4 , should substantially con-tribute to the creation of ERA. Within the framework of RTD projects funded under FP6, universities are already playing the key role that they are subsequently to take on in the knowledge-based society and economy as a whole.

In implementing projects under FP6, universities are liable to encounter difficulties in two main areas: project management (including financial management), and the way they are required to handle research results. These difficulties will mainly arise from in-built characteristics of FP6.

As regards project management, universities will often co-operate on projects with companies, that is to say, with partners whose way of thinking, interests, structures, and actions tend to differ significantly from those of a university. Reaching compromises is therefore vitally important. However, doing so will be particularly complicated because "Networks of Excellence" and "Integrated Projects" - the new priority "instruments" of FP6 (i.e. forms of implementing a project) - will bring together a maximum possible number of participants from a maximum number of countries. On the other hand, FP6 gives project partners a high degree of autonomy and flexibility in organising their rela-tionship (obviously, this also entails corresponding responsibilities).

Meeting this responsibility will be more than just a question of time and money. In many cases, universities will not have the necessary structures or institutions to manage a project or their own project contribution. For administrative reasons it may be difficult or, in some cases, even impossible to set up such structures or institutions. While spin-offs could provide a solution, this requires advice and capital investment. Furthermore, external service providers able to take on the job of managing the project (for consid-eration) are hard to find. In any case, it must be guaranteed that teaching and research responsibilities will remain with the universities.

On the other hand, FP6 also offers universities a certain degree of support in overcom-ing the aforementioned difficulties. For instance, enterprises solely carrying on man-agement activities and no RTD activities are admitted as project partners. Moreover, the EC will reimburse management costs at up to 100% of costs incurred (although no more than a 7% share of the overall Community project contribution may be allocated to management costs).

The most serious difficulties for universities participating in projects funded under FP6 will probably arise in connection with how research results are to be handled. FP6 is orientated towards the economic exploitation of research results, but this is not the tra-ditional way of handling such results in universities. The manner in which participants in FP6 projects are to deal with the results of their project work is set out in (i) a Com-munity Regulation5 , (ii) the contract which all participants in a project must conclude with the EC6 , and (iii) the consortium agreement which they will also normally have to enter into7 .

While there are numerous important provisions on how to handle research results cor-rectly, only those requiring the particular attention of universities shall be addressed here. Universities (as well as any other project participants) are obliged to provide for the adequate and effective protection of any research results capable of industrial or commercial application8 . This will often include safeguarding the protection of intel-lectual property through intellectual property rights such as patents or utility models. European universities have not yet developed a culture of exploiting research results, nor have they much experience in doing so. There are many reasons for this. Firstly, a lot of time, money and effort are required to obtain intellectual property rights. Sec-ondly, the classical way of "exploiting" research results in universities is to publish them. Publication can take place quite easily and rapidly. Furthermore, publications still substantially contribute to a researcher's scientific reputation and, thus, to their profes-sional career. However, universities will have to adjust to the FP6 provisions on publi-cation: research results may only be published if this does not affect their protection. Since many intellectual property rights may only be granted if the subject matter (e.g. an invention) that is to be protected is new (i.e., has not yet been made available to the public), research results may only be published if they have already been protected or if it has been proven, in a special procedure, that they are not subject to this obligation9 .

Further difficulties in handling research results may include, for instance, previously stipulating how results will be allocated where they initially belong to all or several participants, and entering into agreements with employees on their rights, if any, to re-search results.

The IPR Helpdesk assists universities (as well as other participants in FP6-projects) in overcoming all of the aforementioned difficulties, in particular through its helpline service whereby questions may be raised10 .





1. See the Communication from the Commission "The role of universities in the Europe of knowl-edge", (COM(2003)) 58 of 5 February 2003 (europa.eu.int).(«)


2. See the Presidency conclusions of the Lisbon European Council of 23-24 March 2000 (ue.eu.int); see also the Presidency conclusions of the fol-lowing European Councils which have furthered the Lisbon objectives: Stockholm, of 23-24 March 2001 (ue.eu.int); Barcelona, of 15-16 March 2002 (ue.eu.int); Brussels, of 20-21 March 2003 (ue.eu.int).(«)


3. See the following two Communications from the Commission: "Towards a European Research Area", (COM(2000)) 6 of 18 January 2000 (europa.eu.int), and "The European Research Area: providing new momentum", (COM(2002)) 565 of 16 October 2002 (europa.eu.int).(«)


4. Consisting in the Sixth Framework Programme of the European Community for research, techno-logical development and demonstration activities (europa.eu.int) and the Sixth Framework Pro-gramme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (europa.eu.int).(«)


5. Regulation (EC) No 2321/2002 of the European Parliament and the Council of 16 December 2002 concerning the rules for the participation of undertakings, research centres and universities in, and for the dissemination of research results for, the implementation of the European Community Sixth Framework Programme (europa.eu.int); Articles 21-28 of the Regulation contain provisions on handling research results.(«)


6. See Article 12(1)-(4) of the Regulation mentioned in footnote 5. The contract will be drafted on a model contract and will be composed of different modules; Annex II (General conditions), Part C (Intellectual Property Rights) contains provisions on handling research results (www.ipr-helpdesk.org).(«)


7. See Article 12(5) of the Regulation mentioned in footnote 5 and the model consortium agreement offered on the IPR Helpdesk's Web site (www.ipr-helpdesk.org).(«)


8. See Article 22 of the Regulation mentioned in footnote 5 and clause II.33 in annex II of the model contract.(«)


9. Regarding the protection and publication of research results see Article 22(3) of the Regulation mentioned in footnote and clause II.33(3) in annex II of the model contract.(«)


10. The helpline is accessible via the IPR Helpdesk's Web site (www.ipr-helpdesk.org).(«)