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EXPLOITATION AND VALORIZATION OF PROJECT RESULTS
Training course onDissemination and Communication Techniques and
Tools for European projects Fifth session EXPLOITATION AND
VALORIZATION OFPROJECT RESULTS Table of contents INTRODUCTION - Why
EC Projects Exploitation?
- Which relation between Dissemination, Exploitation &
Valorization? - Business vs Exploitation of EC Projects KEY ASPECTS
OF EXPLOITATION IN EC PROJECTS - Description of Project Outcomes -
Market Analysis - Intellectual Property Issues - Negotiation Tips -
Commercialization Channels - Technological Readiness Level TRL EC
SPECIFIC EXPLOITATION FEATURES - The Exploitation Plan - Supporting
Tools CONCLUSIONS 2 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results 2 In Athens in
may, we mentioned about exploitation:
LETS SEE WHATS GOING ON CONCERNINGEXPLOITATION OF PROJECT RESULTS
IN H2020 3 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results - Why EC projects
exploitation?
INTRODUCTION - Why EC projects exploitation? - Relation between
Dissemination -Exploitation &Valorization - Business vs
Exploitation of EC projects Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results WHY
EXPLOITATION IN EC PROJECTS?
A CONTRACTUAL OBLIGATION H2020 oblige EC funded projects to exploit
and impact the market: The dissemination and transfer of knowledge
is a key added value of Europeanresearch actions, and measures
shall be taken to increase the use of results bythe research
community, industry, policy makers and society Basic principles
layed out in Title III ofRules for Participation Article 43 -
Exploitation and dissemination of results Each participant that has
received Union funding shall use its best efforts to exploit the
results it owns, or to have them exploited by another legal entity,
in particular through the transfer and licensing of results in
accordance with Article 44. Rules for participation and
dissemination in "Horizon the Framework Programme for Research and
Innovation ( ) - TITLE III - RULES GOVERNING THE EXPLOITATION AND
DISSEMINATION OF RESULTS AN OBJECTIVE REASON To get return from the
knowledge, technology and commercial potential from the
intermediate and final outcomes of the project 5 Haivisio Training
session 5 on Communication: Exploitation and Valorization of
Project Results DISSEMINATION-EXPLOITATION&VALORIZATION
In projects funded underH2020 beneficiaries havethe obligation to
define theexpected results and theirstrategy for exploitation
anddissemination. Key terms: RESULTS: All results which are
generated under the project whether or not protectable
Dissemination: Means trough which research results are presented to
the public Valorization: Use, for socio-economic purposes, of the
results of research financed by public authorities. It represents
society's direct and indirect return on the public sector's
investment in research and development Exploitation: Utilisation
(direct/indirect) of results in research activities, which are not
part of the project, as well as utilisation for further
development, creation and marketing of a product or process. 6
Haivisio Training session 5 on Communication: Exploitation and
Valorization of Project Results BUSINESS vs EC PROJECTS
EXPLOITATION
Business Operation: Activities involved in thedayto dayfunctionsof
thebusiness conducted for the purpose of generatingprofits.
Objective for creating a Business: To get profit through the
exploitation of the products/services that it creates Exploitation
means the utilisation of results in further research activities
[..], or in developing, creating and marketing a product, process
or service, or in standardisation activities Rules for
participation and dissemination in "Horizon the Framework Programme
for Research and Innovation ( ) Article 2. Definitions (1.9)
Objective for participating in an EC project Research, develop or
innovate about a technology/product/process. The exploitation of
the results of the project may not be the main target 7 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results BUSINESS vs EC PROJECTS EXPLOITATION
Priority Level Execution? Future if fails? Main Objective Type
Interest ofshareholders Expertise Technological Risk Market
Knowledge Ownership BUSINESS Leitmotiv!! Always - Obligatory Great
Problems ONE: Earning Profits Industrial Common interest High
Expertise Low. Companies tend to reliable outputs Well Known The
Company EC R&D PROJECTS Secondary Hardly ever- Optional A
learning experience Diverse: Further research activities,
standardization, Academic Diversity of interests.Can derive in
Conflicts No Expertise in RTOs & Universities High A Mystery!
Several partners 8 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results Exploitation
Research Results in EC Projects?
TAKE A LOOK AT SOME KEY ASPECTS OF EXPLOITATION! 9 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results KEY ASPECTS OF EXPLOITATION IN EC PROJECTS
- Description of Project Outcomes - Market Analysis - Intellectual
Property Issues - Negotiation Tips - Commercialization Channels -
Technological Readiness Level TRL Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
PROJECT OUTCOMES The first key element in exploitation is to have a
clear description of all project outcomes, products, services and
knowledge generated within the project, that could potentially be
exploited: Products Services Prototypes Guidelines Software
Methodology. 11 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results MARKET ANALYSIS
THE CONCEPT
Market Analysis is an essential aspect on Exploitation.Exploitation
needs a market, a buyer of ourproduct/service/technology Market
Analysis helps to identify which is our market and whichare the
most suitable media to reach it. MARKET = CUSTOMERS/END USERS.
Target group Who are they? What do they need? How do they make
their buying decisions? Its price a must? How do we reach them with
your Marketing and Sales Messages? How is the environ- ment? 12
Haivisio Training session 5 on Communication: Exploitation and
Valorization of Project Results MARKET ANALYSIS Identify potential
Market and its size
KEY PARAMETERS I WHO ARE THEY? WHAT DO THEY NEED? Identify
potential Market and its size We must try to measure and quantify
our market. E.g. elder population in Europe 92M people 65 years and
over. Identify your market growth. Think about percentage change as
a market forecast. E.g. Is the number of elderly people growing? By
how much per year? Segment your Market: We must divide it in
detailed segments. E.g. Hospitals, homes for the elderly, physical
rehabilitation centres,. Trying to classify them into several
attributes growth rate, annual spending, etc. Identify segment
needs and requirements: Why do they need our product/service? What
is going to make them buy? Price, Reliability,Quality?
Availability?.... 13 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results Select the most
suitable Distribution Channel:
MARKET ANALYSIS Select the most suitable Distribution Channel:
Which are the standard channels of any of these markets? What kind
of information will be most effective? ing, Medical prescribers,
KEY PARAMETERS II HOW ARE WE GOING TO REACH THEM? HOW IS THE MARKET
ENVIRONMENT? Market Trends Are there any trends influencing in your
market? Ecology is a fashion? Taking care of old people is cool?
Laws & Regulation Can arise new rules that can stop the
evolution or exploitation of the product/service/technology that
the project is trying to exploit? Are there any standards? Check
CEN & CENELEC databases Competition Is there a high number of
competitors addressing the same challenge? Is there a limited
number of prevalent competitors? Which are similar
products/services to ourselves? Immutability Is it a conservative
market? Or a market wide open to new innovations? E.g. We can
consider software market an open mind market while textile it isnt
14 Haivisio Training session 5 on Communication: Exploitation and
Valorization of Project Results MARKET ANALYSIS KEY PARAMETERS III
In summary, a Project Market Analysis should provide information
on: Market environment Consumers needs /Clients Competitors
Standards, legal & environmental issues Some PEST (Political,
Economical, Social, Technological)and SWOT (Strength, Weaknesses,
Opportunities andThreats) analysis. Benchmarking of our
projectproducts/services versus main competitors. 15 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results INTELLECTUAL PROPERTY ISSUES
COMMON RISKS There are RISKs that simply concern EC Projects, those
related witha Consortium formed by different agents with different
interests: 1. Conflict of Interest among the partners: There can
ariseconflicts related with the ownership of the results of
intellectualproperty rights. IPR rules agreement must be
established before theexploitation phase starts. 2. Lack of Support
along the project development: The successof a project depends on
the collaboration of the whole consortium; ifany of the partners
doesnt cooperate enough can cause the failure ofthe project or at
least the failure of the exploitation plans relatedwith the
projects outcome 3. Changes in the final phase of the project: It
may happen thatat the end of the project some of the partners loose
interest inexploitation, change their priorities or decide that
part of theoutcomes must not be exploited. This may cause prejudice
to therest of partners and to the final exploitation of the
results. 16 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results INTELLECTUAL
PROPERTY ISSUES
Conflict of Interest among the partners: (1) Lack of Support along
the project development: (2) Changes in the final phase of the
project: (3) The Consoritum Agreement is the best way to prevent
these type of Risks. It stablishes conditions concerning IP and
way-out rules COMMON RISKS 23 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
INTELLECTUAL PROPERTY ISSUES
IP & CONSORTIUM AGREEMENT Intellectual Property Rights are
usually included in the Consortium Agreement of the project, which
clarifies the relationship among the project partners. In a
consortium there are different interests and noteverybody is
interested in the same type ofexploitation. Some are willing to
create a spin-offfirm that commercially exploits the Project
outputs;other will like to publish in scientific journals
ormagazines the main discoveries; other would like tofind
industrial firms that would pay for royalties;.. It is always
advisable to clarify the ownership of results within the consortium
once they have been created, before the partners start setting up
exploitation strategies! 18 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
INTELLECTUAL PROPERTY ISSUES
IP MANAGEMENT I Which knowledge are we exchanging? Under which
conditions? Who will be the owner of the results? What happens in
cases of joint ownership? Who and how will exploit the results? How
are we protecting confidential information? How are we going to
share the revenues? IPR TYPE OF OUTCOME Patent New inventions
Utility model Trade Marks Distinctive signs Industrial Design
Appearance of products Copyright Literary, artistic and scientific
works Confidentiality Confidential business information/trade
secrets Ramocki, J., Intellectual Property in Horizon 2020 overview
with a focus on comparison with FP7, European IPR Helpdesk
Bulletin, N11, October - December 2013: 19 Haivisio Training
session 5 on Communication: Exploitation and Valorization of
Project Results INTELLECTUAL PROPERTY ISSUES
IP MANAGEMENT II Project partners must identify their background in
writing Best practice! do so before the Contract Agreement is
signed! Principle = results belong to the beneficiary generating
them. If results have been generated by several partners jointly =
joint ownership. Best practice! agree on a tailored joint ownership
agreement adapted to each jointly owned result. 20 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results INTELLECTUAL PROPERTY ISSUES
IP MANAGEMENT III IP issues however, do no end with the signature
of the Consortium Agreement. They are relevant at all stages of the
project: during the project implementation as well as after project
end: During Implementation IP protection and management Granting of
access rights Refining and updating of your exploitation strategy
After Project End Disseminating and securing generated IP
Exploitation of the results Valorisation of intangible
valuesCommercialisation 21 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
INTELLECTUAL PROPERTY ISSUES
IP MANAGEMENT IV So, Knowledge management and protection is a must
during the whole project lifetime. Good practices: To create and
maintain an IP repository/file with data of all knowledge produced
within the project; Any other necessary agreement should be agreed
upon and signed: Confidentiality agreements Joint ownership
agreements Technology transfer agreements The Consortium Agreement
has been signed before the project starts! Many changes in the
project having an impact on exploitation are most likely to happen
during the project and have to be discussed and negotiated. 22
Haivisio Training session 5 on Communication: Exploitation and
Valorization of Project Results NEGOTIATION TIPS Be sufficiently
prepared to negotiate
acquire information on the other parties examine the technology
Search for a win-win agreement take into account the other partys
interests provide objective technical Discuss the agreement as a
whole search for an overall agreement and avoid deadlocks discuss
conditions together with price Time is always important respect the
time constrains of the parties and of the technology good
preparation and discussion, faster agreement 23 Haivisio Training
session 5 on Communication: Exploitation and Valorization of
Project Results COMMERCIALIZATION CHANNELS
RANGE I There is a great rangeof different paths tobring research
resultsto the marketplace The IP or ownership is transferred to
another firm for a lump sum payment. This firm will exploit the
outcomes. The original owner will loss control over the IPR.
Assignment Similar to assignment, but in this case the holder of IP
(licensor) grants permission to another firm or entity (licensee)
in return on payment of a fee or royalty for the exploitation of
the outcomes for a limited period of time or for an exclusive
market, or within other conditions set in the contract among both
parties. The IPR owners will be still the owners of the IP.
Licensing Opportunities 24 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
COMMERCIALIZATION CHANNELS
RANGE II Some of the partnersdecide to exploit the results sharing
risks, benefits and costs, committing resources and contributing
with their intellectual capital to technology research and
development, production, marketing and further commercialization.
One can be in charge of production, another one of
commercialization, another one will look for investors, It is not
necessary to create a new firm Joint-Venture Agreement New company
exclusively created with the aim of exploiting specific results of
the project. It has its own life. Spin-off Each partner offers to
the market a service related with the outcomes to be exploited. 2
Modalities: Contract Research: Research, based in the new
technology/product commissioned by a private company to pursue a
solution to a problem of interest. The results generated should be
owned by the private-sector party Faculty consulting: Encompasses
research or advisory services provided by researchers to industry
clients Consultancy Service 25 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
COMMERCIALIZATION CHANNELS
HISTORY Historically, research exploitation has been dominated by
licenses, because the royalties obtained almost always surpass
spin-off income. Also, it is less costly to sell knowledge to a
company in terms of time and effort than to create a new way to
exploit it. Research groups have had difficulties in becoming
entrepreneurs due to: opportunity cost academic careers lack of
management skills lack of market knowledge Consultancy is one of
the most widespread activities in which industry and academics
engage. This channel is very important to industry and usually does
not compromise university objectives For further information on the
topic please also see: Exchanging Value. Negotiating Technology
Licencing Agreements Knowledge Transfer Study , final report: OECD
(2013), Commercialising Public Research: New Trends and Strategies,
OECD Publishing: 21 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results TRL TECHNOLOGY
READINESS LEVEL
CONCEPT It is a measure to enable assessment of the Maturity of a
particular technology and the consistent comparison of maturity
between different types of technologies. When a new technology is
first inventedor conceptualized, it is notsuitable for immediate
application. New technologies are usuallysubjected to
experimentation, refinement, and increasingly realistictesting.
Once the technology is sufficiently proven, it can beincorporated
into a system and into the markets. Directly linked to Technology
Risk: Untested engineering, technological or manufacturing
procedures entail some level technical risk that can result in the
loss of time,resources and possibly harm to individuals and
facilities. Technical risk is measured as anexpected value derived
from priorexperiencethat led to undesirableresults 27 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results TRL TECHNOLOGY READINESS LEVEL
PROCESS Assessment of the readiness of the individual technologies
willallow Risk Reduction in budget and planning exploitation
Horizon 2020 uses the TRL scale as a tool fordecision making on RDI
investments at EU level. 28 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results TRL
TECHNOLOGY READINESS LEVEL
TRL IN H2020 Excellence Science Industrial Leadership Societal
Challenges 29 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results EUROPEAN
COMMISSION IN H2020 PROGRAMME ENHANCES EXPLOITATION -
MEASURES:
DIRECT MEASURES: EXPLOITATION PLAN INDIRECT MEASURES: SUPPORTING
TOOLS 30 Haivisio Training session 5 on Communication: Exploitation
and Valorization of Project Results EC SPECIFIC EXPLOITATION
FEATURES
- The Exploitation Plan - Supporting Tools Haivisio Training
session 5 on Communication: Exploitation and Valorization of
Project Results THE EXPLOITATION PLAN RESULTS DELIVERABLE
The Exploitation Plan is the tool that EC will use to evaluate the
IMPACT of the project, complementing the Dissemination Plan:
Proposal template technical annex: 2.2. Measures to maximise impact
a) Dissemination and exploitation of results: " Provide a draft
plan for the dissemination and exploitation of the project's
results (unless thework programme topic explicitly states that such
a plan is not required). () Dissemination and exploitation measures
should address the full range of potential users and uses including
research, commercial, investment, social, environmental, policy
making, setting standards, skills and educational training. ()
Explain how the proposed measures will help to achieve the expected
impact of the project. Include a business plan where relevant.
RESULTS Results to disseminate Dissemination Plan Activities,
Social Media, Message, Results to Exploit The Exploitation Plan
TRL, Market, IPR. Strategy & Management Public, Open Access,..
Confidential, Protection 32 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results THE
EXPLOITATION PLAN MAIN OBJECTIVES TO WHOM IS ADDRESSED?
identify markets, exploitation channels and third parties; assure
project results exploitation by the partners. manage
Intellectual/industrial property rights. to communicate the
consortiums strategies on exploitation plans. European Commission:
to share each partners intentions in order to enable them to build
strategic alliances, and exercise their objection right if needed
in case their legitimate interest could be impaired. Consortium
partners: TO WHOM IS ADDRESSED? WHEN MUST START? It is convenient
to start with it soon in order to define aspects that must be
present in the Business Plan, to detect exploitation barriers and
opportunities, comment with partners,... 33 Haivisio Training
session 5 on Communication: Exploitation and Valorization of
Project Results THE EXPLOITATION PLAN WHAT MUST CONTAIN? LIST OF
TOPICS EXAMPLES
Purpose of Results How results are going to be exploited, when and
by whom? Business Plan The IPR exploitable measures taken or
intended Further research required, If any! Potential expected
Impact Market identification EXAMPLES DAPHNE Data as a service
Platform for Healthy lifestyle and preventive medicine SRS -
Multi-Role Shadow Robotic System for Independent Living 34 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results THE EXPLOITATION PLAN The exploitation plan
should cover these topics:
Description of the Project consortium Description of the Project
outputs Market Analysis IPR issues Individual (every partner) as
well as jointly exploitation plans, even for non commercial
partners (used in further R&D activities, consultancy.) A
Business Plan, depending on the type of project and its
technological readiness level. If applicable, the business model
and financial feasibility with sales and profit and loss forecast
during the first operational years, should be included. 35 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results THE EXPLOITATION PLAN Contents of a Business
Plan: Executive Summary
THE BUSINESS PLAN Depending on the type of project and the
Technology Level readiness a Business Plan will have to be
produced. Contents of a Business Plan: Executive Summary
Service/Product Description Market and Competitors Marketing Plan
Management Team & Structure SWOT & Risk Analysis Financing
Operational Process The BP must be a real compromise among the
partners!! 36 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results THE EXPLOITATION
PLAN SUMMARY Outcomes Prototype Product Service
Software Methodology Documents Technology Readiness Level / Time to
Market TRL3 TRL4 - Applied Research Long Time to Market TRL5 - TRL6
TRL7 - Pilot Industrial Scale Medium time to Market TRL8 TRL9
Manufacturing Short Time to Market IPR Patent Trademark Utility
Model Copyright NDA Non Disclosure Agreement Industrial Design
Commercialisation Channels Consultancy Licencing Spin-off
Assignment Joint-Venture Agreement Target Groups Associations
Hospitals Public Bodies Private Companies End Consumers 37 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results SUPPORTING TOOLS The EC is implementing several
supporting tools to help projects consortiums bridging the gap
between research outcomes and exploitation, among them: For all
projects: -IPR Helpdesk: helpline, training modules, webinars,
newsletters For specific areas: -NMP projects: IP, business,
patenting and standardization assistance -Energy projects: support
to exploitation of EU funded projects 38 Haivisio Training session
5 on Communication: Exploitation and Valorization of Project
Results SUPPORTING TOOLS European IPR Helpdesk aims at raising
awareness ofIntellectual Property (IP) and Intellectual Property
Rights (IPR) assisting SMEs and beneficiaries of EU-funded programs
in dealing with IPR matters providing advice and first-line,
high-quality support on IP/IPR issues via different services
raising awareness of the value of intellectual assets and of the
necessity to secure andmanage them empowering its target groups to
develop capacities of their own to deal with IP/IPR 39 Haivisio
Training session 5 on Communication: Exploitation and Valorization
of Project Results SUPPORTING TOOLS The Innovation Platform
It provides to NMP projects a series of tailored services: Project
Risk Analysis (PRA) and Exploitation Strategy Seminars (ESS) to
brainstorm on how a consortium can address the risks and potential
obstacles to the exploitation Business plan development service
Assistance for patenting Assistance for standardisation
ch/industrial_technologies/ assessment-and- exploitation_en.html 40
Haivisio Training session 5 on Communication: Exploitation and
Valorization of Project Results SUPPORTING TOOLS EC Calls
Calls for Tenders related to the Directorate-General for Research
& Innovation Tender reference numberRTD-K-2013-ENERGY
TitleSupport services for exploitation of research results.
DescriptionThe aim of this action is to provide the Commission with
external assistance for an on-demand service benefiting former and
current DG RTD grant beneficiaries of the Energy theme of the FP7
'Cooperation' specific programme and the Horizon 2020 Secure, safe
and efficient energy Societal Challenge in view of supporting them
in the exploitation of their EU-funded research results. This would
involve, inter alia, identification of market potential and
opportunities; evaluation of competing technologies; development of
business plans; assessment of upscaling costs; and IPR protection.
Contract typeServices Procedure typeOpen procedure StatusClosed
Published on TEDChecked 41 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
CONCLUSION Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results CONCLUSION MAIN
BENEFITS OF THE EXPLOITATION OF RESEARCH RESULTS
Helps to create a more competitive EU market, capable of attracting
researchers, scientists and further research funding at the
international level. Generates economic and social value and
improve the competiveness of national industry Resulting
commercialisation may constitute an alternative income source to
fund the R&D activity Allows rooting an entrepreneurial culture
within consortiums. This is of particular importance for a
successful exploitation of publicly funded knowledge. Besides:
Generates additional revenues Promotes open innovation Increases
access to and sharing of research data and publications Engenders
possibilities for collaboration in research and teaching Raises the
partners profile and get publicity Broadens the job market for
students 43 Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results Continuously
update your Exploitation Plan !
CONCLUSION HAVE A CLEAR STRATEGY R E S U L T S Product, Service,
Documents, Prototype, D i s s e m i n a t i o n Mass media and
other communication Activities E x p l o i t a t i o n Spin-off,
Joint-Venture, Licencing, Valorization , $, Market Monitor
regularly relevant external factors affecting your exploitation
potential (other projects, competing technologies,) Continuously
update your Exploitation Plan ! 44 Haivisio Training session 5 on
Communication: Exploitation and Valorization of Project Results
THANK YOU! Haivisio Training session 5 on Communication:
Exploitation and Valorization of Project Results