SSERR Support Services for

Exploitation of Research

Results

National Contact Point – Energy Nationale Kontaktstelle – Energie Webinar

7 December 2016, Brussels Michael C. LAUBENHEIMER, DG RTD G2

• Expectations from H2020 proposals/projects

• Terminology

• Proposal preparation

• Reasoning for a stronger exploitation support

• Objectives & tasks of SSERR

• Means

• Workflow

• Suitable application for SSERR services

• Additional: more detailed information on SSERR services

Content

Energy Union (integrated energy market, energy efficiency, decarbonisation, R&I)

• Requires basic & applied research which leads to new services and products

Evaluation criteria for H2020 proposals

2. Impact (threshold 3/5)

• Contribution to the expected impacts (WP / topic)

• Quality of measures to exploit and disseminate the project results (incl. management of IPRs)

• Communicate the project activities to different target audiences

Exploitation (I) Expectations

Results

Any tangible or intangible output of the action, such as data, knowledge and information whatever their form or nature, whether or not they can be protected.

Key results of the action are the outputs generated during the project which can create impact during and after the funded activity is finished, either by the project partners or by other stakeholders

Project results

Industry, innovators

Research communities

Civic society, citizens

MS, EU policymakers

Software Products Services Processes

Prototypes

Publications

Policy recommendations

Reports

Codes of conduct

Educational materials

(collaboration) platforms

Pre-standards Patents

Data

Research roadmaps

Skills and knowledge

Terminology "Results"

• Project results can be reusable and exploitable entities as such, or elements (knowledge, technology, networks) that have potential to contribute for further work, research or innovations

• Administrative deliverables, reports or dissemination materials (e.g. publications) are often not results in themselves

Reach out to society as a whole and in particular to some specific audiences

Demonstrate how EU funding contributes to tackling societal challenges

Is strategically planned and not only ad-hoc efforts

Identifies and sets clear communication objectives

Uses pertinent messages, right medium and means

Communication

Taking strategic and targeted measures for promoting the action itself and its results to a multitude of audiences, including the media and the public, and possibly engaging in a two-way exchange.

Terminology "Communication"

Transfer of results to the ones that can best make use of it

Maximizes the impact of research, enabling the value of results to be potentially wider than the original focus

Essential element of all good research practice

Prevents results becoming sticky and effectively lost

Strengthens and promotes the profile of the organisation

Dissemination of results

The public disclosure of the results by any appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium.

Terminology "Dissemination"

Press release

Informing about project Informing about results Making results available for use

Project website Scientific publication

Social media (blogs, Twitter, Facebook, LinkedIn)

Project factsheet, brochures

Exhibitions/open days/guided visits

Conference presentation

Policy brief/roadmap

Sharing results on online repository (research data, software, reports)

Newsletter

Videos, interviews

Training/workshops demonstration

Articles in magazines

"Communication" "Dissemination"

Exploitation

The utilisation of results • in further research activities other than those covered by the

action concerned, or • in developing, creating and marketing a product or process, or • in creating and providing a service, or in standardisation activities.

Terminology "Exploitation"

Make use of the results; recognising exploitable results and their stakeholders

Concretise the value and impact of the R&I activity for societal challenges

Can be commercial, societal, political, or for improving public knowledge and action

Project partners can exploit results themselves, or facilitate exploitation by others (e.g. through making results available under open licenses)

Dissemination Exploitation

Describing and making available results so that they can be used

Making use of results, for scientific, societal or economic purposes

Audiences that may make use of results Groups and entities that are making concrete use of results

All results which are not restricted due to the protection of intellectual property, security rules or legitimate interests

All results generated during project Participant shall make best efforts to exploit the results it owns, or to have them exploited by another legal entity

Grant Agreement Art. 29 Grant Agreement art. 28

Making results available Facilitating further use of results Making use of results

Patent Spin-off/ Start-up

Data Management plan

Open/copyleft licenses

Innovation management

Scientific publication

Policy brief/roadmap

Training/workshops demonstration

Active stakeholder/ user engagement

Copyright Management

Product

Service

Societal activity

Further research

Policy change

Sharing results on online repository (research data, software, reports)

Standard

PhD thesis/ post

"Dissemination " "Exploitation"

Considered in all sections of a project proposal

• Chapter 1 "Excellence"• SMART objectives: consistent with expected impact & exploitation

• Situation of project: 'idea to application', 'lab to market', TRL

• Ambition: inter alia the innovation potential e.g. new products, services or

business models

• Chapter 2 "Impact"• Contribution to the impacts

• Expected impacts mentioned in the WP / topic

• Substantial impacts not mentioned, i.e. new market opportunities, growth ofcompany, etc.

• Measures to maximise impact• Plan for the dissemination and exploitation of the project's results:

who, where, how, when, for whom, by which means, …i.e. exploitation paths and follow-up of project, once it is finishedto be translated in corresponding 'Consortium Agreement'

• Outline the strategy of knowledge management and protection

Exploitation (II) Treatment

Admissibilitycondition

Relevant references in the Grant Agreement • Article 20.3 Periodic reports with update of exploitation plan

• Article 20.4 Final report with an overview of the results & their exploitation

• Article 27.1 Obligation to protect the results

• Article 28.1 Obligation to exploit the results

• Direct/indirect measures up to 4 years after the project period• Using them in further research

• Developing, creating or marketing a product or process

• Creating and providing a service

• Using them in standardisation activities

• Article 29 Dissemination of Results

• Article 30 Transfer and licencing of results

Considered in all sections of a project proposal

• Chapter 3 "Implementation"• Work plan: Updates of exploitation plan in periodic and final reports

• Innovation management: Understanding of "market"

Exploitation (III) Treatment

Dissemination & Exploitation

of results needs

understanding & careful planning

Exploitation (IV) Reality

Exploitation (V) Questions

Product &

Service

• How to treat "exploitation" in an appropriate way?

• What is the result? Where are the markets? Who arethe competitors? Where is further research needed?

• How to protect research results?What is confidential or can be disclosed?Which type of IP rights to protect the results?Who owns the results?

• How to publish research results?

• What are suitable exploitation options?

• How to prepare a business plan?What is a business plan?What is the business model?

• How to approach investors?

Objectives

• Make "business" out of research

• Make "business men" out of researchers

Tasks

• To raise the understanding of the importance of protectingand exploiting research results (how to make an impact)

• To raise awareness of rules & rights and obligations &opportunities (“thinking out of the box”)

• To explain the steps to go (drafting business plan/exploitation plan), i.e. to reduce time to get to the outcomes

• To support & advice the researchers in• protecting results, using results, identifying markets and business

models, approaching investors, assessing potential exploitation paths

Objectives Tasks

Dedicated Support Services to H2020 projectsin Energy• Project Risk Analysis PRA (10 days)

• Exploitation Strategy Seminars ESS (17 days)

• Business Plan Development BPD (30 days)

• Assisting with Patenting PAT (15+ days)

• Brokerage events BRE

• Ad Hoc Assistance AHA

On request of research project or PO

Executed by experts (remote and onsite)

Administrated & monitored by DG RTD G2• Establishing specific service contracts

• Reviewing reporting; following KPIs; dissemination of lessons learnt

• Processing payments

Means

• EWDs• Expert• Date-venue• Deliverables

Filing Contracting Monitoring Payment

Special Service Contract • Project 1

• EWDs, Expert, Date-venue, Deliverables

• … • Project x

• EWDs, Expert, Date-venue, Deliverables

Principal Workflow Delivery

Commission RTD G2

Contractor Expert

Project

Commission Project Officer

Provides SSERR service Presents results

Request by Coordinator

Project maturity/service PRA ESS BDP PAT BRE

Ended X X

Ending in 6 months X X X

Ending in 1 year X X X X

Ending in 2 years X X X X X

Application

SSERR Operational Unit

DG RTD G2 Michael C. LAUBENHEIMER Tel: +32 2 298 91 03

Email: RTD-ENERGY-SSERR@ec.europa.eu

Internet: http://sserr.meta-group.com

PRA - Project Risk Analysis

Objective: to identify potential risks and obstacles to achieve and exploit in the future projects’ results.

Service: The expert analyses the results that partners are willing to exploit, the form(s) that the exploitation of these results may take and the conditions needed to enable results exploitation and highlights potential risks to be monitored.

Number of days assigned: 10 Methodology: remote work Deliverable: Synthesis report with Background research

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Recommendation Effective at very beginning, when KERs are still not fully characterized.

ESS – Exploitation Strategy Seminars

Objective: to brainstorm on how the projects address exploitation opportunities, risks and potential obstacles, enhance the team awareness on IPR and standardisation.

Service: One day seminar with the expert acting as facilitator. After the ESS, a report summarizing the results of the seminar and a draft PUDF for the benefit of project partners and POs are prepared.

Number of days assigned: 17 (including PRA) Methodology: remote work + on-site workshop Deliverable: ESS report, draft Exploitation plan

Recommendation To be applied 2 times during the project (early for awareness raising and later for further defining KERs Back

BDP – Business Plan Development

Objective: to assist partners in developing a business plan for exploiting their results, up to including solutions for financing needs.

Content: The Business Plan Development service extends the support in helping projects to develop a business plan, from the very drafting phase, up to including solutions for financing needs and coaching on how to successfully present the business idea. (BMC)

Number of days assigned: 30 Methodology: remote work + 2 seminars Deliverable: Final report

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Recommendation BDP applies to already well identified KERs, so more mature projects. How to pitch to be an integral part of the service.

PAT – Assisting with Patenting

Objective: to support partners with the writing, filling and legal follow-up of patents.

Content: The patenting process is a critical point for the exploitation of research projects. Not standardised. The appointed Expert analyses needed patenting issues.

Number of days assigned: depends on the need, 15+ Methodology: remote work (meeting is optional) Deliverable: Short report

Recommendation Split the service in more than 1 specific contract due to lengthy process. Define the project needs in advance.

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AHA – Ad Hoc Assistance Objective: Support to any other exploitation related activities (assistance to the project meetings, feasibility studies etc.)

Content: to be defined case by case in advance

Number of days assigned: to be defined case by case Methodology: to be defined case by case Deliverable: Short report

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BRE – Brokerage Events Objective: to support the EC in providing a forum for project participants (open to industry, SMEs and academia) to meet and discuss their results to create synergies and generate new ideas for further developments in the use of results.

Content: How to pitch/present exploitable result will be the main part of a successful BRE.

Number of days assigned: to be defined case by case Methodology: worskhops Deliverable: Short report

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BMC – Business Model Canvas

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