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Impact and Innovation in H2020 Projects
Oxford, September 2014 1
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Get your ticket to innovation.
Managing Impact and Innovationin H2020 projects
Dr. Eugene SweeneyOxford
11th/12th September 2014
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RoadmapThe ImplementationSection of the Proposal
• Practical management ofimpact and innovation in theproject
• Management structures,policies and processes
• Getting the best projectoutcomes and results
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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 managed in all stages of aproject, NOT JUST during exploitation
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Understand the landscape
Technology
MarketFactors
IndustryCompetitors
Regulations
IP &IPR
Standards
SOTA
ResearchCompetitors Related
Research
Strategic Intelligence – to plan a route
WP and Call Challenges,Objectives & Topics
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Using the Strategic Intelligenceto prepare the proposal
• To select project objectives to maximise impact
• To plan the best route to achieve the objectives R&D strategy, methodology and delivery plan Exploitation (commercial/non-commercial) strategy and plan Dissemination strategy and plan
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But how to implement itand manage it?
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ImplementationManagement structures and procedures to:• Capture and manage the research results
The management framework (who is responsible)
The management procedures (how it will be done)
Establish good foundations and guiding principles/policies
IP management and protection strategies and procedures
• Exploit the research results Assess the opportunties
Exploitation strategies and plans Exploit/Extract value from research outputs Dissemination and communcation of research outputs
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Evaluation Criteria - Implementation
• Coherence and effectiveness of the work plan, includingappropriateness of the allocation of tasks and resources
• Complementarity of the participants within the consortium (whenrelevant)
• Appropriateness of the management structures andprocedures, including risk and innovation management
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Key Issues
• Innovation Management• IPR Management (including ownership)• Exploitation Management
• Impact• Innovation Potential• Enhancing Innovation Capacity
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Innovation management
is not
IPR Management
is not
Exploitation Management
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Oxford, September 2014 6
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Idea to Innovation
Innovation ManagementInnovation Management
IP Management and Strategies
Identifying market opportunities and monitoring markets, technologies and IPR
Exploitation strategies and plans
Impact
Innovation capacity
Innovation potential?
Meeting needs anddelivering benefits
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Innovation Management
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Innovation Management(EC definition)
Overall management of all activities related to understanding needs,with the objective of successfully identifying new ideas, andmanaging them, in order to develop new products and services whichsatisfy these needs.
Innovation management starts at the point of capturing thecreative works and finishes when it a product or service isdeployed.
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Innovation Management
• Understanding the market needs and opportunities
• Being responsible for the overall strategic approach
• Continually monitoring the market, IP and technology landscapes
• Steering (adapting if necessary) the development plan to meet
the project objectives and market needs
• Ensuring the project’s foundations and management processes
and structures (for innovation) are sound and working effectively
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The management framework
Strategic and overall projectmanagement
Work packages and taskmanagement
Innovationmanagement
Someone must be responsible for managingall activities related to innovation, from market need through
capturing the IP, to market deployment
Driver Navigator
Engine room
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Securing the foundations(at, or before, the start of the project)
• Consortium agreement
• Agree IP access, usage rights and policies (foreground,background, during and after project)
• Agree IP exploitation policies
• IP awareness training for participants (to avoid IP value leakage)
• Ensure good research practice (GRP) training and procedures inplace
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IPR Management
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IPR managementManagement of the IP used by the project
• Ensuring appropriate access and usage rights for key IP before
AND after the project
• Monitoring use of 3rd party components (especially licence terms
– e.g. Open Source) during and after project
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IPR managementCapturing and Managing IP generated by the project
• Implementing the IP management strategy and plan, based on IPPolicy
• Regular reviews of project outputs (IP) to stimulate disclosure
• Securing agreements for foreground IP Ownership
Management
Access/Use
etc
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IPR managementAssessing the IP and the opportunities
• Assessment of foreground IP (once disclosed by creator)
• Prior art search for patentability, overlap, and/or potential
partners/collaborators
• Review of alternative technologies
• Assessment of market opportunities
• Assessment of innovation potential
• Assessment of potential to enhance innovation capacity
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Oxford, September 2014 11
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IPR managementProtecting the IP
• Review the need for formal protection (if possible) – in line with
exploitation strategies
• Pre-publication reviews (for patentable inventions, or for
commercially confidential inventions)
• Invest in protecting and securing foreground IP as appropriate
Patents, copyright, keep secret, etc
Secure proof of creation
etc
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Exploitation Management
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Exploitation ManagementPolicies and strategies – the exploitation roadmap
• Exploitation might be commercial or research
• Preparation of exploitation and commercialisation strategies (andplans, if appropriate) - including the project results as awhole
• Coordination of individual partner’s exploitation plans to avoidconflicts
• Preparation of more detailed strategies and plans during theproject
• Adapting to changes and trends in market and technologies
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Exploitation ManagementPracticalities to address
• How far down “TRL” road to go?
• Is further development needed?
• Do you need to licence in 3rd partycomponents, etc?
• Is more investment needed? what for how much where from?
• Prepare a draft business plan or investment proposition, ifappropriate (with financials)
• Prepare a marketing (communication/dissemination) campaign tosupport exploitation
Basicinvention
Lab demo/ Proofof Concept
Working prototype/Market acceptance
Scale-upvalidated
Market ReadyBasicResearch
MarketDeployment
321 4 5 6 7 8 9
Technology Readiness Level (TRL)
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Dissemination andCommunications Management
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Dissemination and CommunicationTo support exploitation
• Dissemination is not Exploitation is not Communications
• Prepare coordinated dissemination strategy and plan to supportcommercial and non-commercial exploitation of the project results.
• Might include:• Targeted prospecting• Cold calling• Community building (to generate market pull?)• Public awareness (to generate market pull?)• Seminars/Meetings (to raise awareness)• Special events (for hands-on trials) - if appropriate
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Capturing and Protectingthe research results
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Recognising the assets
• Intellectual Property, like physical property is an asset which hasvalue and can be traded.
• The creators of the IP (i.e. the researchers) must be made awareof the value of their creations, and the steps they must take toprotect its value.
The creators must recognise what they produceand know where to go next
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Researchers recognising IP
and then disclosing it
is only the start!
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Initial DisclosureHow?
• proactively (at a review meeting)
• Opportunistically (phone call, email, formal project disclosure, etc)
• Usually incomplete information
• Important for “IP Manager” to get as much information as possibleat this stage.
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Initial DisclosureKey information needed
• Clarify ownership – particularly if 3rd parties involved
• Identify ALL relevant IP (software, papers, know-how, etc)
• Inventors’ opinions about competition, technologies and markets
• Check for “hidden traps” (publications, posters, etc), which mightaffect patenability.
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Hidden Traps
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Hidden Trapswhich can prevent patentability for technical inventions
Novelty
Inventiveness (not obvious)
Industrially Applicable or Useful
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Novelty
Not previously described in “prior art” or
publicly disclosed (anywhere in the world)
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Common inadvertent disclosures (1)
Publishing in the literature
Posting information to the Internet
• Inclusion in a thesis or other accessible document deposited in alibrary, including private collections associated with and indexedin the library
• Oral or written disclosure with a customer, at scientific meetings(including poster sessions) or in any circulated abstract or pre-print of a paper to be read at such a meeting
• Any talk or demonstration with customers, at an open day,colloquium, lecture or the like
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Common inadvertent disclosures (2)
• Disclosing to any visitors in a non-confidential manner,including posters and displays in adjoining corridors
• Leakage of information from experimental public trials orprototypes carried out without taking precautions to avoid this
• Advertisement, sale, use or any form of commercial activitywhich is public (e.g. to try and “test the market”)
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Inventiveness... ObviousnessEuropean Patent Office Guidelines
“The term 'OBVIOUS' means that which does not go beyond the
normal progress of technology but merely follows plainly or
logically from the prior art i.e. something which does not involve
the exercise of any skill or ability beyond that to be expected of the
person skilled in the art”
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Published (or Public) Statements canDefeat Patents• “Smith and Jones showed X. Therefore we decided to try Y”
• “Because of its structure, this virus seemed a likely choice as avector of foreign epitopes”
• “We predicted it would happen and these results have confirmedour prediction”
• “Logic dictates that...”
Such statements make it sound obvious to tryand obvious that it will succeed
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Beware of Hidden Traps!
• The way papers are written– before AND after patenting
• Inadvertent Disclosures Email and Internet discussions Research papers Prototypes Conference abstracts and presentations “Internal” presentations discussions in a public place (including open access coffee
lounges) etc
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Ownership
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Oxford, September 2014 22
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Ownership of foreground IP
• Legal Ownership of EC Supported foreground IP is with theInstitution – so institution involvement is crucial for issuessuch as IP ownership, access and use.
• Involve your institution’s knowledge/technology transfer office(or equivalent) in the project – who will also have access toneeded skills.
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Ownership!
What are the relativecontributions to theinvention?
Who will pay forprotection? Howwill costs beshared?
How will revenue beshared?
Who will manage?
Who owns what?(EC rules as default)
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Before any project starts...
• Agree ownership policies. If joint what are relative contributions,and how will they be agreed?
• Agree who will manage – ONE manager
• Agree who will exploit – ONE exploiter
• Agree cost and revenue sharing models
• Agree processes to resolve conflicts, e.g. regarding protection anduse in certain territories, sectors or non-use. Flow back options.
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VisitorsEnsure IP Policies are agreed to by “non-staff” who mightbecome involved in the project.
• Taught research students• Visiting academics• Advisory board members• etc
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Summary
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Summary• Impact and Innovation needs to be addressed in all 3 sections
(excellence, impact and implementation) of a proposal
• It is fundamental to understand (and monitor) the landscape(market, technical, IPR, SOTA, Competitors, etc)
• to obtain strategic intelligence... to justify the projectobjectives and to plan the best route
• Ensure project results (IPs) and their are captured andmanaged appropriately
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Nothing in isolation!
• IPR, Exploitation, Dissemination and CommunicationsManagement are all closely interdependent, and all rely onunderstanding the IP, technical and commercial landscapes
• They are all an integral part of innovation management – but aredifferent activities.
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Thank you. Questions?
For further questions and general IP advice, pleasecontact our Helpline team:service@iprhelpdesk.euPhone +352 25 22 33-333 (Helpline)Fax + 352 25 22 33-334 (Helpline)www.iprhelpdesk.eu
For questions related to our training activities, pleasesend us an email at:training@iprhelpdesk.eu
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Credits© istockphoto.com/maridav (slide 1)© istockphoto.com/Bliznetsov (slide 2)© Iambic Innovation Ltd (slide 2,4,13,16,18,27)
Disclaimer/Legal NoticeThe information and advice contained in this presentation is not intended to be comprehensive and attendants are advised to seek independentprofessional advice before acting upon them. The European IPR Helpdesk is not responsible for the consequences of errors or omissions herein enclosed.Re-use of information contained in this presenation for non-commercial purposes is authorised and free of charge, provided the source is acknowledged.The use of images – other than in the mere reproduction of this presentation – is prohibited. The European IPR Helpdesk is not responsible for any impactor adverse effects on third parties connected with the use or re-use made of the information contained in this presentation.
The European IPR Helpdesk is managed by the European Commission’s Executive Agency for Small and Medium-sized Enterprises (EASME), with policyguidance provided by the European Commission’s Enterprise and Industry Directorate - General. Even though this leaflet has been developed with thefinancial support of the EU, the positions expressed are those of the authors and do not necessarily reflect the official opinion of EASME or the EuropeanCommission. Please see our full disclaimer at www.iprhelpdesk.eu.
© European Union (2011-2014)
Presentation produced by Dr. Eugene Sweeney, Iambic Innovation Ltd. June 2014
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