IP Management in Horizon 2020 - IPR-Helpdesk · exploitation and impact of the project • Describe...

European IPR Helpdesk


Jörg Scherer/Eurice GmbH

IP Training Event

„IPR in H2020“

Luxemburg, 24-09-2014

IP Management in Horizon 2020

European IPR

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• SME founded in 2000; 45 staff members

• Specialised in international research and innovation

management

• A wide range of technological focal areas: Health , Biotech, ICT, Material Sciences, Engineering, Environmental Sciences, Humanities, etc.

• Co-ordinator of 35 successful FP7 proposals

European Research and Project Office (Eurice) GmbH

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0

50

100

150

2000 2002 2004 2006 2008 2010 2012 2014

Budgets of running EU projects (Mio. Euro)

Saarbrücken Berlin

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EURICE – H2020 Innovation Support Initiatives

• European IPR Helpdesk

Information and training on Intellectual Property (IP) and Intellectual Property Rights (IPR)

• EEN - Enterprise Europe Network

Information and consulting to support SMEs in the field of cooperation, technology transfer and strategic partnership

• Fit for Health 2.0

Focusing on research-intensive, high technology SMEs, the project offers targeted support measures, covering the entire innovation cycle of research projects.

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EU research funding – Outcome of FP7 impact assessments

• Less than 50% of industrial partners use the publicly funded applied research projects strategically

• Only about 22% of SMEs participating in EU research programs are strategic innovators

• Most academics engage with industry to further their research rather than to commercialise their knowledge

• Results are not exploited because projects were not designed for exploitation

HORIZON 2020 The New EU Framework Programme for Research and

Innovation (2014-2020)

What is Horizon 2020?

• Coupling research to innovation

• Challenge based

• Strong focus on SMEs

• Major simplification

The new European Union programme for research and innovation for 2014-2020

Coverage of the full innovation chain

Basic

Research

Technology

R&D

Demonstration Market

uptake

Large scale

validation

Prototyping Pilots

Excellent science

Industrial leadership

Societal challenges

8

•H2020 Who is who

Research and

innovation outputs

of Horizon 2020

• Improved R&D

capabilities

• Scientific

publications

• New tools and

techniques

• Models and

simulations

• Prototypes,

demonstrators,

pilots

• Patents

• New products,

processes,

services

• Spin-offs

Key Features Societal Impact and

Contribution to Europe 2020

Ho

rizon

20

20

Seamless support from idea

to market

Easy access for all

participants including SMEs

Projects financed on the

basis of excellence

Ambitious collaborative

projects with critical mass

Inclusive & sustainable

growth • Better health & more

well-being

• A more secure society

• Sustainable agriculture

• Clean & efficient energy

• Smart, green, integrated

transport

• Reduced greenhouse

gas emissions

• Efficient use of natural

resources

Competitiveness • Exports increase by 1,4%

and imports decrease by

0,2% in the medium term

More high-tech Jobs • >800,000 in the medium

term

Economic growth • €1 invested in Horizon 2020

produces €10 extra GDP

per annum

Projects selected through

intense pan-European

competition

Projects not achievable

without EU support

(additionality)

Projects leveraging

additional private and public

resources

Impact of Horizon 2020 for

R&I

Evaluation criteria

Proposal evaluated by the experts “as it is”

and not as “what could be” = no need for negotiation

Innovation actions higher weighting for "IMPACT"

STANDARD AWARD CRITERIA

QUALITY & EFFICIENCY

OF THE ACTION IMPACT EXCELLENCE

ERC frontier Research actions only EXCELLENCE


Technology Readiness Level (TRL)

1. Basic Research – principles observed and reported

2. Technology concept and/or application formulated

3. Analytical and experimental proof of concept

4. Validation in a laboratory environment

5. Validation in the relevant environment

6. Prototype demonstration in relevant environment

7. Prototype demonstration in operational environment

8. System complete and verified though test and demonstration

9. Ready for full deployment

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Summary: Expectation on IP management

Expectation on sound IP management in H2020/ COSME differs according to:

• Specific Programme (i.e. SME instrument, Joint Undertakings with strong

industrial participation)

• Applicability of results/Technology Readiness Level (TRL)

• Participation of SMEs/Industry

• Financing Instrument (i.e. Innovation actions/SME instrument)

• Size of consortium/International partners

• Stage of proposal/maturity of project implementation

• Specific requirements called for in the work programme/topic description

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Why is it important to consider IP in H2020? The Rules for Participant establish best efforts commitment of participants to exploit their own results.

IP and exploitation issues are subject to evaluation regarding impact and feasibility of the proposal.

A convincing outline of IP management and exploitation strategies on individual and consortium level within the proposal is a relevant matter.

Results of research and development activities require further and often substantial investments to take them to market, which is appealing if the results are well protected through intellectual property.

Properly managing IP in the projects, helps participants to avoid future conflicts among the consortium.

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IP downstream route/Steps

• Understanding the scene (Terms, Rules, Model Agreements, etc)

• Setting the scene (Which IP provisions are negotiable?)

• Getting to know the individual interests, motivations and expectations of individual partners regarding IP management and exploitation

• Strategies and Plans to capture, manage and exploit results of H2020 projects on consortium level

• Developing the right innovation management structures

• Definition of appropriate activities and tasks to implement innovation-related activities

• Exploitation pathways, route to market, business models

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Impact and Innovation in H2020 proposals

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Impact and Innovation in H2020

• H2020 is based on:

An impact orientated approach

Delivering strategic technologies that can drive competitiveness and growth

• Impact and Innovation must be addressed in all sections of proposals, NOT JUST in the “Impact” section

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Main Proposal Sections Excellence, Impact & Implementation

• The Excellence and Impact sections are based on demonstrating an understanding of the technology and market environment, justifying the project objectives, and presenting a viable methodology and strategic plan and for achieving the project objectives, and delivering innovation with impact.

• The Excellence and Impact Sections must be consistent with each other.

• The Implementation section is about demonstrating capability to deliver what is planned. It includes governance, policies, systems, structures, operational processes and risk management.

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Gathering the information to prepare the proposal

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Data > Intelligence > Plans > Action

• Study and Analyse the landscape with respect to WP Topics, SOTA, IP, market environment, barriers, risks, etc.

• Elaborate and Justify project objectives, considering consortium expertise, capabilities and proposed resources

• Plan to deliver – developing strategies and plans to maximise impact and exploitation:

R&D strategy and delivery plan

Research result dissemination strategy and plan

Commercial exploitation strategy and plan

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Data > Intelligence > Plans

• State of the Art (how will you go beyond it – what new IP?)

Academic papers

Patents and other registered IP

• Market: size, segmentation, distribution, growth, “needs and wants”

(what will you target, and how will you be positioned?)

Market reports

Industry partners


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• Competitor Intelligence: market share, technologies, current and future plans

(Where will you be positioned; what will your key differentiators/USP’s be?)

Company websites, annual reports (incl. financial)

Market reports


• Technologies: other technical solutions which can address the objectives; their status, strengths and weaknesses

(Why will your technical solution be better, and in which areas?)

Technical reports

Industry partners


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• Potential Barriers/Obstacles: IPR’s (freedom to use), statutory requirements, industry standards, health & safety requirements

Statutes

Standards


• Standards: prescriptive, advisory, best practice (barriers or opportunity)

www.iso.org

www.cen.eu

http://www.iso.org/

http://www.cen.eu/

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Standards

• Standardization is identified in Horizon 2020 as one of the measures that will support market take-up of research results and innovation.

• Help on addressing standardization in Horizon 2020 projects and how project proposers, can integrate standardization in proposals is available from CEN-CENELEC.

• See: http://www.cencenelec.eu/research/Horizon2020

http://www.cencenelec.eu/research/Horizon2020



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Excellence Extract from proposal template

• Objectives should be consistent with the expected exploitation and impact of the project

• Describe the positioning of the project

• Describe research and innovation activities which will be linked with the project;

• Describe the advance your proposal would provide beyond the state-of-the-art

• Describe the innovation potential

• Refer to the results of any patent search carried out.

.

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Implementation Extract from proposal template

• Give visibility in the work plan to ‘dissemination and exploitation’

• Describe how effective innovation management will be addressed in the management structure and work plan.

• Innovation management is a process which requires an understanding of both market and technical problems, with a goal of successfully implementing appropriate creative ideas.

• Describe the industrial/commercial involvement in the project to ensure exploitation of the results

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Management Structure & Work Plan (related to impact and innovation)

Management Tasks and Processes

Top level management (e.g. Project board, Project Manager)

• Consortium Agreement • Access and usage rights (foreground,

background, during and after project) • Ownership of foreground • Management of foreground • Exploitation of foreground • Cost and Revenue sharing • IP Policy • IP awareness (training for researchers)

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Exploitation Management (e.g. Innovation Manager, Exploitation Manager)

• Commercial exploitation strategy, plan and implementation

• Scientific exploitation strategy plans and implementation

• Business Plan • Project result dissemination as appropriate

to support exploitation objectives

Communication/ Dissemination Management (e.g. Communications Manager)

• Project dissemination strategy, plan and implementation

• Support to exploitation communication activities

• Community building • Public awareness

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Research Management (e.g. Project Manager, WP Manager, Technical Managers)

• Good research practice • Record Keeping • Recognising and capturing IP • IP disclosure to IPR Manager

IPR Management (e.g. IPR Manager, Innovation Manager)

• Assessment and protection of IP • Pre-publication reviews • Access and usage rights (foreground,

background and 3rd party), during and after project)

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Impact Extract from proposal template

• Describe how your project will contribute to:

the expected impacts set out in the work programme, under the relevant topic;

improving innovation capacity

strengthening the competitiveness and growth

developing innovations meeting the needs of European and global markets; and,

delivering such innovations to the markets;

• Describe any barriers/obstacles that may determine whether and to what extent the expected impacts will be achieved.

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Draft Exploitation/Business Plan

• What and Why?

Analysis of the market (market/competition/barriers/key targets, etc)

Targeted exploitation opportunities and impacts – based on expected project results - with justification and positioning

• How to get there?

Exploitation Strategy (e.g. further development, open platform, by region, by field of use, standards, regulatory, etc., etc.)

Commercialisation vehicle(s) (e.g. licensing, spin-out, JV, etc)

Funding/Investment required? When and how? (Proof of concept, pre-seed, seed, etc..)

Draft financial projections

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Routes for use/exploitation

Basic options

• Use for further research

• Developing and selling own products/services

• Spin-Off activities

• Cooperation agreement/Joint Ventures

• Selling IP rights/Selling the (IP based) business

• Licensing IP rights (out-licensing)

• Standardisation activities (new standards/on-going procedures)

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Summary

• Address Impact and Innovation in all 3 sections of the proposal

• Gather information to understand the landscape (market, technical, IPR, SOTA, Competitors, etc)

• Analyse the information to obtain strategic intelligence... to allow you to justify the project objectives and to plan the a route to get there

• Present a realistic, achievable and measurable strategy and plan, based on a sound analysis and quantitative information where possible

• Justify everything!!

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STOP

Exploitation Strategies in H2020 projects

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Recap

Gather data and information in order to…

Understand the landscape (IPR, technology, market, competitor,

commercial, etc.) which we then:

Analyze to obtain strategic intelligence, to allow us to:

Plan to develop new creations/inventions/ideas, and

Implement management structures and procedures to capture, protect,

manage and exploit the results

Capturing the IP is just the start!

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Exploitation…

• Assessing research outputs

and opportunities

• Developing Strategies and

business models

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Summary Exploitation strategies

1. Understand the landscapes

2. Know where you want to get to (TRL level)

3. Build the most attractive “offer” by:

Building a portfolio of IP (i.e. not just patents!)

Working with others

Adding value through development

Changing market perceptions

4. Choose the most appropriate routes (licensing, start-up, JV etc.)

5. Understand what funding will be needed to reach your objectives

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EU IPR Helpdesk: Target Groups & General Objectives

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General Objectives

The European IPR Helpdesk aims at:

raising awareness of the value of intellectual assets and of the necessity to secure and manage them

empowering and developing capacities to deal with IP assets and related management

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Who can use our services?

The European IPR Helpdesk is the official IP service initiative of the European Commission addressing:

Beneficiaries of EU-funded programmes

Current and potential participants in EU-funded projects such as FP7, CIP, Horizon 2020, COSME.

EU SMEs involved in cross-border innovation activities within EU, negotiating

transnational business partnerships, going abroad

Multipliers and intermediaries (e.g. EEN members, NCPs, business organisations, TTOs, chambers of commerce)

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How can the EU IPR Helpdesk assist participants in H2020?

European IPR

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Services

Bulletin

Newsletter

Training

Helpline

Awareness Raising

Publications

Website

All of our services are offered free of

charge.

European IPR

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Website & Publications (library)

• Fact Sheets to help participants becoming familiar with H2020 rules and best practices:

a) IP Management in H2020 at project proposal

b) IP Management in H2020 at grant preparation

c) IP Management in H2020 at the project implementation and conclusion

• Model Agreements (Non-disclosure Agreement and MoU for H2020 to use at project proposal)

• Links to useful documents (e.g. model consortium agreement)

• Fact Sheet: Open access to publications and data in Horizon 2020 ( FAQ)

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Website & Publications

• Information on exploitation of results? we have clear and practical fact sheets on

a) Exploitation channels for public research results

b) Non-disclosure agreement

c) Licence agreement

d) Assignment agreement

e) Joint ventures

f) Spin-offs

g) Internal product development

• Events & news

• Case Studies

• Glossary & FAQs

• Bulletin

European IPR

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Intellectual Property rules

Guide

to IP in

Horizon 2020

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Helpline

• Personalised answers to individual questions within three working days and free-of-charge

• First-line support (participants are advised to get professional legal support if needed for further procedures)

• Straightforward and user-friendly service provided in English

• Deals with a wide range of IP and IPRs topics

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Helpline

• Understandable for non-legal experts and business oriented

• Topics related to H2020 (non-exhaustive):

Revision of MoU and non-disclosure agreements

Analysis of plans on exploitation and IP in proposal phase

Potential routes for commercial exploitation of IP

Eligibility of costs for innovation-related activities (i.e. IP search, patent filing, licences)

Questions on interpretation of IP clauses in the grant agreement and other agreements

Revision of consortium agreements

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Some examples of questions received…

• Is protection of results mandatory in all cases?

• How can I protect my ideas, inventorship/authorship and ownership rights if I participate in a EU funded project through my University ?

• Should we still include a Plan for Use and dissemination in H2020 proposal?

• Does our draft consortium agreement comply with EU funded rules?

• Is there an obligation to disseminate results which qualify as industrial and trade secrets?

• If our SME became partner in a Horizon 2020 project, would it be the owner of the project results?

• What are the main elements of an exploitation strategie/draft business plan to be developed?

Call us at +352 - 25 22 33 – 333 or send an email to [email protected]

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Training offer to support H2020 participants

Webinars focusing on formal aspects (IP rules in GA/CA) and/or strategic aspects of IP management and exploitation planning

On-site events (organised/on-demand); i.e with a focus on specific technology fields/branches

Participation in Proposer days, Brokerage events, Fairs ..

Close co-operation with NCPs, EEN…

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Training: Advanced IP Support

• Growing demand for training focused on exploitation strategies and business opportunities within FP7/H2020.

Development of new modules

Cooperation with external experts to meet training request in highly specific fields

• In 2014 (Jan-June) provision of 15 on-site training events/ 8 webinars with 1,600 participants in total all over Europe

• Most attractive training modules:

“IP in EU-funded projects”

“Impact and Innovation in H2020”

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Upcoming related Events

„From invention to innovation“

Strategies for successful exploitation of Horizon 2020 results

Budapest (December 2014)

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Further training in 2014 „IP for Business“ (in cooperation with EPO)

What?

IP Commercialisation

Business Planning around IP

Open Innovation

When/Where?

02/10 Split, Croatia

tbc Patras, Greece

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Webinars & Educational Clips

• Regular courses

• Registration on our website

• Open to everyone interested in enhancing their knowledge of IP/IPR

• Easy handling

• Duration: 60 minutes & 15 minutes “Q&A”

New webinars this year focusing on exploitation of results!

www.iprhelpdesk.eu/events

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Awareness Raising

• Participation in stakeholder/target group events (e. g. brokerage & information events)

• Professional presentation (i.e. information booth, plenary presentation, workshops)

• Provision of promotional material and information packages

• Contribution to partner newsletters & websites

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Cooperation

• Cooperating with stakeholders involved in IPR and promotion of innovation in order to foster synergies (EEN, WIPO, EPO, OHIM, National Patent Offices...)

• Liaising with European business associations and

other stakeholders with the purpose to foster partnerships and reach more SMEs

• Networking through LinkedIn and Twitter

• Joint activities with other Innovation Support Initiatives (i.e. FitforHealth, CEN/CENELEC, ESIC services)

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Other IPR Helpdesks

The China IPR SME Helpdesk supports European Union (EU)

small and medium sized enterprises (SMEs) to both protect and enforce their

Intellectual Property Rights (IPR) in or relating to China, through the provision of free

information and services.

www.china-iprhelpdesk.eu

The MERCOSUR IPR SME Helpdesk offers free of charge, first-line support on IP and IPR matters that aims to facilitate

the expansion of European SMEs already established at, or

working with entities in Mercosur and Chile as well as those potentially interested in establishing commercial and

R&D activities and ventures in these countries.

www.mercosur-iprhelpdesk.eu

The ASEAN IPR SME Helpdesk supports European

Union (EU) small and medium sized enterprises (SMEs) to

manage, protect and enforce their Intellectual Property (IP) rights in or relating to ASEAN, through the provision of free, first-line advice, information

and training.

www.asean-iprhelpdesk.eu

European IPR

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Thank you

We look forward to getting in touch with you!

For questions and general IP advice, please contact our Helpline team:

[email protected]

Phone +352 25 22 33-333 (Helpline)

Fax + 352 25 22 33-334 (Helpline)

www.iprhelpdesk.eu

For questions on this presentation, please send an email:

[email protected]

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Photo Credits

istockphoto © istockphoto.com/maridav © istockphoto.com/Bliznetsov © istockphoto.com/Rtimages © istockphoto.com/Daniel Laflor © istockphoto.com/Warchi © istockphoto.com/Dave White

Disclaimer/Legal Notice The European IPR Helpdesk is managed by the European Commission’s Executive Agency for Small and Medium-sized Enterprises (EASME), with policy guidance provided by the European Commission’s Enterprise and Industry Directorate - General. Even though this fact sheet has been developed with the financial support of the EU, the positions expressed are those of the authors and do not necessarily reflect the official opinion of EASME or the European Commission. Please see our full disclaimer at www.iprhelpdesk.eu.

IP Management in Horizon 2020 - IPR-Helpdesk · exploitation and impact of the project • Describe...

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