The feasibility study was conducted under conditions which were agreed to by
the International Steering Committee, before consortia were invited to submit
test case proposals.
Three documents established the framework for collaboration. These were:
The second and third of these
were proposed by the Technical and Intellectual Property Rights Committees,
respectively, and were approved by the Steering Committee.
The modalities applying to test cases were defined as first, the principles
applicable to interactions between government agencies and Participants and
second, the activities and frameworks for action based on those principles
which were seen as likely to emerge during the study.
- a statement of modalities for collaboration;
- technical themes; and
- intellectual property rights guidelines.
The guidelines for test case modalities were proposed at the first meeting of
the International Steering Committee (ISC) and finalised at the second meeting
prior to commencement of the test cases. Following is a summary of the agreed
Consortia in test cases
shall contain legal entities, called partners, from at least three different
Participants' territories. Entities should be accountable for their behaviour
in legal and financial terms and could include companies, universities,
government institutions and individuals.
- Such collaboration should be international.
The test cases shall not be open to partners from outside the Participants'
Each Participant shall have at least one involvement in a test case.
case must have significant industrial participation and must aim to measurably
improve the performance of manufacturing industry.
- Contributions to and benefits from such collaboration should be equitable
- Collaborative projects should have industrial relevance.
A consortium is a horizontal
or vertical cooperative arrangement composed of interested entities as defined
above, formed to conduct research and development. The consortium is
structurally decentralised with partners drawn from any part of the
participating regions. Test case research and development activities, too,
should be as decentralised as possible.
- Research should be carried out by consortia which are interregional,
geographically distributed and decentralised.
set of test cases should address as many phases of the innovation process (e.g.
basic research, applied research, prototyping, commercial development,
deployment, etc.) as possible.
- Research projects should occur throughout the innovation process.
This means that
phases of test cases which are financed, or partially financed, with public
money may not go beyond the pre-competitive stage of research and development.
- Results of research should be shared through a process of controlled
diffusion that protects and equitably allocates any intellectual property
created or furnished during collaboration.
- Projects under governmental sponsorship or utilising government resources
should involve pre-competitive research and development.
Whilst existing international projects may be used as the basis for
test cases it is not excluded that entirely new proposals may be put forward
for consideration. Existing domestic projects may also be used as the basis for
test cases if they can be modified so as to meet the criteria for approval.
- Existing international projects may be used as the basis for research and
development test cases in order to expedite the feasibility study if they meet,
or can be modified so as to meet, the criteria for approving a test
partners will show how the contributions to, and the benefits from,
participation are equitable and balanced. To this end, with contributions
having been identified by type (including in-kind contributions such as
equipment, facilities, personnel, documentation, techniques and intellectual
property) and value for each partner and group, this information shall be
displayed via a matrix or some other appropriate means, so as to clearly show
the contribution of each group relative to others in a project.
- Partners in an approved research and development test case must delineate
acceptable intellectual property rights provisions in advance.
- Collaboration in each research and development test case will be equitable
and balanced, in terms of partners, contributions and benefits.
The range of technical issues involved were an important part of the basis of
selection of particular projects as test cases within the overall feasibility
- Each Participant will fund its own participation in the feasibility study.
- Each Participant will determine the method by which its own participation
will be funded.
- Technical themes will be based on specified principles (Section 3.2).
Technical considerations were based on the broad principles set out in the
Terms of Reference. Guidelines adopted at the second meeting of the ISC
contained four specific principles. These were:
to assist and encourage applicants in putting forward proposals, the ITC
identified, at its first meeting, six general areas which were designated as
technical themes. These themes included:
- no manufacturing-related technology should be excluded initially except
where national security concerns preclude cooperation;
- technical themes were to encompass areas in which significant
contributions could be made to world knowledge;
- technical themes were to be chosen which would benefit multiple
participants to the greatest extent possible; and
- technical themes were to be discussed after each Participant had
sufficient opportunity to develop its own suggestions for themes.
To deepen the understanding by
applicants of the scope of each theme, the Committee proposed groups of key
words in order to amplify and explain the range of meanings of each theme (see
Box). This was in keeping with the objective implied in the Terms of Reference
of allowing potential partners to appreciate the scope available to them when
compiling a project bid.
- Enterprise integration
- Global manufacturing
- System component technologies
- Clean manufacturing
- Human and organisational aspects
- Advanced materials processing
Technical Themes Identified for the IMS Test Case Feasibility Study
Technical Themes Key Words
1 Enterprise integration modelling
product design technologies
product data exchange technologies
2 Global manufacturing concurrent engineering
organisational and economic aspects
supplier and distribution management
3 System component technologies autonomous systems
design and simulation
sensor and information fusion
4 Clean manufacturing environmentally safe
5 Human and organisational aspects human-oriented production systems
internal and external team working
6 Advanced materials processing machining
process modelling and simulation
technical themes for test cases were approved at the second meeting of the
International Steering Committee (ISC) where it was noted that the themes were
for test cases only and that flexibility should be maintained on the selection
of technical themes for future programs. At the second meeting of the ITC, it
was agreed that the six themes provide reasonable scope for the test cases to
be carried out during the feasibility study.
The initial task of the International Intellectual Property Rights Committee
(IIPRC) was to establish Intellectual Property Rights (IPR) Guidelines for test
cases under the IMS feasibility study.
IPR guidelines for research and development were developed at the first meeting
of the IIPRC in Tokyo in June 1992 and refined at the second meeting in
Brussels in July. In view of the short time available, the Committee aimed for
a minimum set of IPR guidelines for the test cases. It was understood that
these guidelines would not necessarily provide a precedent for IPR rules for a
future IMS program. However, the experience that would be gained in their use
would provide valuable input.
Although the IPR Guidelines were not to be seen as immutable, it was the
understanding and expectation of the IIPRC that they would be adhered to by the
partners in each of the test cases. This was confirmed by the ISC.
Broadly, the IPR Guidelines for test cases were intended to:
The IPR Guidelines
introduced a set of defined terms and addressed the following issues arising
from the test cases:
- underpin equitable and balanced benefits;
- ensure reasonable access rights to results for both R&D and commercial
- address the creation, protection and equitable dissemination of
intellectual property created from the test cases.
The IPR Guidelines for test cases are
included as an annex to this report (Annex V).
- ownership of intellectual property rights;
- use of intellectual property for research and development;
- use of intellectual property for purposes of commercial exploitation;
- licensing of intellectual property to third parties;
- procedures for ensuring the protection of intellectual property generated
during a project and the preservation of confidential information;
- the necessity of distribution of summary information and public reports in
respect of the test cases; and
- provision for requiring partners to address issues relating to applicable
law and dispute settlement within the written agreement to be entered into by
partners participating in a project.
In summary, the Guidelines divide intellectual property rights into two
classes: those which existed prior to the commencement of the project
(background rights) and those which are created by virtue of the project
(foreground rights). It is proposed that foreground intellectual property
should be owned by the party or parties generating it and licensed on a
royalty-free basis to other partners in the same project for research and
development and commercial exploitation.
Background rights are to be licensed on normal commercial conditions to parties
where the licensing of those rights is necessary for the commercial
exploitation of any foreground intellectual property rights generated in the
project. It is thus intended that parties will not be permitted to use their
background intellectual property rights to block fellow parties from using
foreground intellectual property generated in the project. The parties were
left to agree amongst themselves about conditions for licensing background
rights for research and development purposes.