SIST-V CEN/CLC Guide 39:2022

The role of standards in support of Technology Transfer

The main target audience of this Guide are the researchers and providers of new technologies who want to see
their research outcome or new technology taken up by the market as well as innovators, entrepreneurs and startups who want their innovation to enter the market, and are interested to know whether and how standardization
can help them to meet their objective.
The use of standardization in support of the uptake of an innovation by the market consists of:
• the application of existing standards on which the innovative product/service relies;
• contributions to and participation in the standardization process, to ensure the standards accommodate
the innovative product/service

Vloga standardov v podporo prenosu tehnologije

Glavna ciljna skupina tega vodila so raziskovalci in ponudniki novih tehnologij, ki si prizadevajo, da bi bil rezultat njihove raziskave oziroma nova tehnologija sprejeta tako na trgu kot s strani inovatorjev, podjetnikov in zagonskih podjetij, ki želijo s svojo inovacijo prodreti na trg, ter jih zanima, ali jim standardizacija lahko pomaga doseči njihov cilj in na kakšen način. Uporaba standardizacije v podporo sprejetja inovacij na trgu vključuje: • uporabo obstoječih standardov, na katerih temelji inovativni izdelek/storitev; • prispevanje k postopku standardizacije in sodelovanje v njem, s čimer se zagotovi, da standardi ustrezajo inovativnemu izdelku/storitvi.

General Information

• Status: Published
• Publication Date: 20-Mar-2022
• ICS: 01.120 - Standardization. General rules
• Technical Committee: I11 - Imaginarni 11
• Current Stage: 6060 - National Implementation/Publication (Adopted Project)
• Start Date: 17-Mar-2022
• Due Date: 22-May-2022
• Completion Date: 21-Mar-2022
• Ref Project: CEN/CLC Guide 39:2022 - The role of standards in support of Technology Transfer

Standards Content (sample)

SLOVENSKI STANDARD
SIST-V CEN/CLC Guide 39:2022
01-maj-2022
Vloga standardov v podporo prenosu tehnologije
The role of standards in support of Technology Transfer
Ta slovenski standard je istoveten z: CEN/CLC Guide 39:2022
ICS:
01.120 Standardizacija. Splošna Standardization. General
pravila rules
SIST-V CEN/CLC Guide 39:2022 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST-V CEN/CLC Guide 39:2022
CEN-CENELEC
GUIDE
The role of standards in
support of Technology Transfer
Edition 1, March 2022

CEN and CENELEC decided to adopt this new CEN-CENELEC Guide 39 through CEN/BT Decision C253/2021 and

CENELEC BT Decision D170/073 respectively.
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European Committee for Standardization
European Committee for Electrotechnical Standardization
Rue de la Science, 23
B – 1040 Brussels – Belgium
Tel: [phone]
Fax: [phone]
www.cencenelec.eu
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Contents Page

European foreword ................................................................................................................................. 4

1 Why this Guide? ........................................................................................................................ 5

2 To whom is this Guide addressed? ......................................................................................... 6

3 Standards and Innovation ........................................................................................................ 6

3.1 How do standards help innovation?........................................................................................ 6

3.2 The role of standards throughout the Innovation process ................................................... 8

4 What can CEN and CENELEC and their members offer to the innovator? ....................... 10

4.1 The standardization landscape .............................................................................................. 10

4.2 Contacting the CEN and CENELEC members ...................................................................... 11

4.3 Concrete paths to take advantage of standardization ......................................................... 11

4.4 The Workshop Agreement ...................................................................................................... 11

5 Intellectual Property Rights and standardization – how do they co-exist? ...................... 12

5.1 Intellectual property – quid? .................................................................................................. 12

5.2 Patents and standards ............................................................................................................ 12

5.3 Standards Essential Patents (SEPs) ..................................................................................... 13

5.4 Licenses and standards .......................................................................................................... 13

5.5 Copyright and standards ........................................................................................................ 14

5.6 Standard relevant publications .............................................................................................. 14

5.7 Open source ............................................................................................................................. 15

5.8 Standardization documents vs open access to publications ............................................. 16

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European foreword

This document (CEN-CENELEC Guide 39:2022) has been prepared by CEN-CENELEC BT WG 3

‘STAndardization, Innovation and Research (STAIR)’.

It is intended for use by the CEN and CENELEC Members in their contacts with Research and Innovation

stakeholders.

Standardization and innovation are often presented by arguing that standardization can block innovation. This

guide helps to counter this argument by highlighting the role of standards in promoting innovation in the market

place.

NOTE Where the expression CEN-CENELEC appears it refers to CEN and CENELEC jointly.

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1 Why this Guide?

Technology transfer (TT) refers to the process of conveying results stemming from scientific and technological

research to the market place and to wider society, along with associated skills and procedures, and is as such an

intrinsic part of the technological innovation process.

Technology transfer covers the complex value chain linking research to its eventual societal deployment.

Relevant in any such value chain are :
• to protect the technical invention
• to exploit it; and
• to bring it to market.

When browsing relevant material on the web, it strikes that typically the protection of intellectual property and

related licensing are addressed (e.g. https://ec.europa.eu/info/research-and-innovation/law-and-

regulations/technology-transfer_en).

Yet, it is obvious that innovations, when brought on the market, also will depend on standards and have to consider

standardization.

OECD in its Oslo Manual 2018 recognizes standardization as an innovation activity. A variety of opportunities of

using standards and standardization as innovation indicators has been investigated .

Nevertheless, “while increasing ground has been covered by scholars on the basic picture regarding economic

impacts of standards, there is need for more granular evidence, particularly in fields like open innovation research

(…) or technology and knowledge transfer research. In the context of the latter, the topic of indicator development

seems a particularly pristine field. For example, […] a variety of channels for technology transfer, but not standards

or contributions to standardization.”

It is fair to say though that the EC within its “EU valorisation policy” recognizes the value of standards as a crucial

tool to get the most out of research results as standards “form a common language that allows researchers, people

and industry to communicate, produce and commercialise products and services”.
In this Guide, we therefore will address:
• the benefits of standards and standardization to innovators;

• the links of intellectual property, patents and licensing with standardization.

https://knowledge4policy.ec.europa.eu/technology-transfer/what-technology-transfer_en

OECD/Eurostat (2018), Oslo Manual 2018: Guidelines for Collecting, Reporting and Using Data on Innovation, 4th Edition, The Measurement

of Scientific, Technological and Innovation Activities, OECD Publishing, Paris/Eurostat, Luxembourg, https://doi.org/10.1787/9789264304604-

Standardization and Standards as Research and Innovation Indicators : Current opportunities and future challenges; Knut Blind, 2016;

available from https://www.oecd.org/sti/049 - BlueSky_Standards_Blind.pdf

Radauer, Alfred (2020) Driving from the fringe into spotlight. The underrated role of standards and standardization in RTDI policy and

evaluation. fteval Journal for Research and Technology Policy Evaluation (51). pp. 59-65. ISSN 1726-6629; available from

https://repository.fteval.at/547/

https://ec.europa.eu/info/research-and-innovation/research-area/industrial-research-and-innovation/eu-valorisation-policy_en

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NOTE This Guide is intended to be of a general nature; developments such as recommended approaches to data

standardization, whilst increasingly important (“industrial data is worth its weight in gold when it comes to developing new

products and services. But the reality is that 80% of industrial data is still collected and never used. This is pure waste.” ), are

not addressed here. How standards will support the industrial data value chain is a work in progress. For more information,

one can access the discussions at the stakeholder workshop that took place on 28 September 2021.

2 To whom is this Guide addressed?

The main target audience of this Guide are the researchers and providers of new technologies who want to see

their research outcome or new technology taken up by the market as well as innovators, entrepreneurs and start-

ups who want their innovation to enter the market, and are interested to know whether and how standardization

can help them to meet their objective.

The use of standardization in support of the uptake of an innovation by the market consists of:

• the application of existing standards on which the innovative product/service relies;

• contributions to and participation in the standardization process, to ensure the standards accommodate

the innovative product/service.

Whilst both aspects will be touched upon in this Guide, most attention will go to the ways

researchers/innovators/entrepreneurs can interact with standardization, and what it brings for them.

Another target audience of this Guide are policymakers in Science, Technology and Innovation, operators of

funding programs and venture capitalists investing in technological innovation.

Consequently, the Guide contains information on how researchers and innovators can make initial contacts with

the standardization community, as well as information on the ways that CEN and CENELEC can offer them to take

advantage of standardization.

General information about how research and innovation can be addressed in European standardization activities

and deliverables is provided in CEN-CENELEC Guide 23, “Research Consortium Bridge – Addressing Research

and Innovation in European Standardization activities and deliverables” .
3 Standards and Innovation
3.1 How do standards help innovation?
Standardization will help to:
1. Promote and commercialize your innovation:

Standards create trust and enable consistency, as well as ensuring interoperability. They can ease scalability

and market access. This makes it much more likely that the European and international markets will respond

well to your innovation.

Companies that have contributed to the drafting of the standard will have a first-mover advantage compared

to those who learn about the standard once it is published and whose solutions can be then out of the

standard requirements, thus needing costly adaptations or losing the market advantage of being covered by

a standard.

State of the Union Address by President von der Leyen at the European Parliament Plenary - 16 September 2020 - available from

https://ec.europa.eu/commission/presscorner/detail/en/SPEECH_20_1655

https://www.cencenelec.eu/news-and-events/events/2021/2021-09-28-ws-standards-in-support-of-the-industrial-data-value-chain/

https://www.cencenelec.eu/media/Guides/CEN-CLC/cenclcguide23.pdf
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2. Comply with regulations:

The EU has an active standardisation policy that promotes standards as a way to better regulation and

enhance the competitiveness of European industry. There is a variety of Directives which contain essential

requirements for products to be allowed on the EU-market and where the technical specification to provide

presumption of conformity with those essential requirements is described in related harmonized standards ;

the essential requirements typically address safety for health, consumers and for the environment.

Being involved in the elaboration of the standards makes it much easier for your work to comply with existing

regulations.
3. Provide in-demand customer service:

The methodologies you use to provide your services will be instantly recognized if they are covered by

standards, making it easier to drive demand for them. Standards support also helps to make sure your

testing methods are up-to-date and the results comparable.
4. Keep up with leading technologies:

Standards provide information on leading industry technologies and practices, and are the basis of

continuing education through testing, certification, and more. Participating in standardization activities allows

you to keep abreast of market, technology, and policy changes—knowledge of which supports your entry to

market and helps to enable interoperability.
5. Grow your network and establish an ecosystem:

Standardization is a co-creation process that spans different roles and sectors, including those involved with

new technologies. This means that you will cross paths with a whole new scope of potential partners,

including potential users and customers of your novel technology. As a co-creation process, standardization

also links with open innovation, a concept also promoted by the European Commission.

6. Reputation:

Actively contributing to state of the art standardization will increase the recognition of your expertise and the

reputation of your organization.

Examples of standardization supporting the uptake of an innovation are available from

https://www.cencenelec.eu/get-involved/research-and-innovation/standards-for-innovation-examples

On https://www.standardsplusinnovation.eu/stories, more “inspiring stories” can be found that show what

standards have to offer to a researcher or innovator.

Other stories may be found on https://www.cencenelec.eu/get-involved/research-and-innovation/cen-and-cenelec-

activities/standards-innovation-awards/, in particular the Individual researcher/innovator awards given to

individuals who successfully introduced their research outcome or innovation into standardization, thereby creating

impact for their work.

See https://ec.europa.eu/growth/single-market/goods/new-legislative-framework_en

Using the terminology from Art.2, EU Reg. 1025/2012, ‘harmonised standard’ means a European standard adopted on the basis of a request

made by the European Commission for the application of Union harmonisation legislation; the objective is of course the facilitation of the single

market; this relies on standardization since European Standards have to be implemented as National Standards for all 34 CEN-CENELEC

member countries

“Open innovation, open science, open to the world - A vision for Europe” (2016); EC DG R&I; available from https://op.europa.eu/s/tzfD

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3.2 The role of standards throughout the Innovation process

Whilst standards become more relevant where a technology matures (higher Technology Readiness Levels

(TRLs)), standards do support all stages of innovation, since the subjects that can be addressed by standards

cover the full innovation cycle, as illustrated by the examples suggested in Figure 1.

Figure 1

The two examples in Figure 2 and Figure 3 illustrate the value of standardization in support of low TRLs.

Figure 2
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Figure 3
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4 What can CEN and CENELEC and their members offer to the innovator?
4.1 The standardization landscape

The standardization landscape is a diverse one as illustrated in Figure 4 but ensures the support of the innovator

in a structured, pluralistic, transparent and consensus way.
Figure 4

Through Regulation (EU) No 1025/2012, CEN, CENELEC and ETSI (the European Telecommunication Standards

Institute) are the three European Standardization Organizations that are officially recognized as competent in the

area of voluntary standardization for Europe. CEN and CENELEC maintains a close cooperation with ETSI, in

particular in digital related topics.

In terms of scope, CENELEC activities cover electrotechnical standardization whilst the scope of CEN activities is

very broad, covering among others Chemicals, Construction, Consumer products, Energy and Utilities, Defence

and Security, Food and Agriculture, Healthcare, Health and Safety, Heating, ventilation and air conditioning

(HVAC), Machinery safety, Services, transport and Packaging, etc. Joint activities of CEN and CENELEC cover

converging technologies and ICT such as Artificial Intelligence, Cybersecurity, Blockchain, etc.

The international equivalents of CEN and CENELEC are the 'International Organization for Standardization' (ISO)

and the 'International Electrotechnical Commission' (IEC) respectively. The Vienna (CEN/ISO) and Frankfurt

Agreements (CENELEC/IEC) describe the cooperation between the European and global level. They enable the

parallel development of both European and international standards, with the technical discussions happening only

once, usually this is internationally.
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Discussions within the Technical Committees of CEN, CENELEC, ISO and IEC are based on inputs by national

delegations who represent the views expressed by the related groups at national level, the national mirror groups.

These mirror groups at the national level are composed of voluntary experts and stakeholders that take direct part

in the writing of the standards.

In addition to the standards organizations (national, European and international) referred to in Regulation (EU) No

1025/2012, there are many other Standards Developing Organizations. Some of them have a global presence and

are well known. Cooperation Agreements may then exist with ISO or IEC Technical Committees, enabling among

others the publication of dual logo standards. Examples are IEC/IEEE 62704-2, ISO/ASTM 52915, IEEE/ISO/IEC

29148.
4.2 Contacting the CEN and CENELEC members

The thirty-four (34) CEN and CENELEC national members are also members of ISO and/or IEC, which makes

them the natural initial point of contact for any researcher or innovator wishing to know about national, European

or international standards and standa
...