SIST-V CEN/CLC Guide 39:2022

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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CEN-CENELEC
GUIDE
39


















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: +32 2 550 08 11
Fax: +32 2 550 08 19















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.
1
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.
2
OECD in its Oslo Manual 2018 recognizes standardization as an innovation activity. A variety of opportunities of
3
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
4
or contributions to standardization.”
5
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.

1
https://knowledge4policy.ec.europa.eu/technology-transfer/what-technology-transfer_en
2
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-
en
3
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
4
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/
5
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
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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,
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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
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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.

6
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
7
https://www.cencenelec.eu/news-and-events/events/2021/2021-09-28-ws-standards-in-support-of-the-industrial-data-value-chain/
8
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
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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
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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
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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.

9
See https://ec.europa.eu/growth/single-market/goods/new-legislative-framework_en
10
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
11
“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
...