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Introduction

The data published in the following sections is based on the results of:

 

  • a desktop analysis of exploitation tools in collaborative projects,
  • an online survey filled in by 80 high experience coordinators as well as dissemination, communication and exploitation managers of European collaborative projects in the field of energy efficiency in buildings or, more general, smart cities and communities,
  • 8 in-depth interviews of a selection of European experts (project coordinators or dissemination and exploitation managers).

As a result, six groups of tools and practices ("actions") could be defined, which are listed and briefly commented below. Type I to IV actions are exploitation and market deployment actions (practices, methods, analysis, plans etc.) used to ensure the successful exploitation and long term deployment of the results of R&D or Demonstration projects. Type V and VI actions are dissemination actions which deal with the diffusion of the scientific and technical information arising from the project results to professional stakeholders interested in using the project’s technical outcome. Dissemination directly contributes to reaching the expected impact of the project, supporting a successful exploitation of the project results. For this reason, dissemination actions are also listed here. Communication actions to inform a boarder public about project activities and progress in general are however not included here.

Good practices could also be derived, which can be found through the current publication.

Partners of future as well as present collaborative projects may use the above listed actions and good practices either to elaborate or simply check and improve their exploitation strategy according to their specific need. 

Type I: Actions to set the collaboration framework with the project partners

Actions to set the collaboration framework with the project partners are meant to define at an early stage of the project (or even at a proposal stage) common rules and procedures to be followed by the whole consortium:

  • A consortium agreement, i.e. an internal agreement to establish the rights and obligations of the partners within the project, was signed in about 90% of the projects of the present study (mainly FP7, FP6 and CIP projects).
  • Specific written guidelines for the management of intellectual property including for instance internal rules for the protection and dissemination of results during the project are also used in a majority of the projects (60%) and are often part of the consortium agreement.
  • Another common practice is to establish a plan for exploitation actions to be carried out during the project, often together with a plan for dissemination and communication. This initial roadmap can be regularly updated during the project.
Type II: Actions to review and analyse the internal project status

Actions to review and analyse the internal project status for exploitation purposes are targeted at identifying Intellectual Property assets (background and foreground IP) as well as evaluating their exploitation (commercial, academic, etc.) potential. In case of jointly developed project results, this also implies paying attention to access rights to IP, identifying exploitation and ownership claims as well as detecting and solving IP conflicts between project partners.

 

The following actions can be cited:

  • Systematic identification of partner background relevant for the project and of the related access needs.
  • Systematic identification and characterization of project results (foreground IP).
  • Evaluation of the exploitation potential of project results beyond the project (including partner's claims for ownership and envisaged exploitation).
  • Systematic identification of possible IP conflicts between project partners.
Those actions are commonly carried out by mean of questionnaires, interviews or workshops.

The survey shows that while background IP and project results are identified in most projects, less attention is paid to the evaluation of the exploitation potential of project results and the definition of an exploitation strategy. The systematic identification of possible IP conflicts is only carried out in about one third of the projects.

Type III: Actions to review and analyse the current market situation and the market framework conditions

Actions to review and analyse the current market conditions are focused on external conditions which influence the exploitation and market deployment of project results. The analysis of the market may cover market trends, size, growth as well as competing solutions. Market framework conditions such as political, economic, legal or societal aspects are also part of such an analysis.

The following actions can be cited (from the most to the less used according to our survey):

  • Review of existing Standards/Norms.
  • Review of relevant EU-Regulations/directives.
  • Case studies.
  • Technology watch/ -scouting.
  • Market analysis (market segments, size, trends, growth rate, profitability, cost structure, distribution channels).
  • Strengths/Weaknesses/Opportunities/Threats (SWOT) analysis.
  • Technology Roadmaps (Trends & Evolution).
  • Political, Economic, Social, Technological, Legal and Environmental (PEST, PESTLE or similar) analysis.
  • Patent survey.
Type IV: Actions to plan and prepare the future exploitation and market deployment of the project results

Actions to plan and prepare the future exploitation and market deployment include for instance comparing the project current status in term of exploitable results with the market situation. This comparison sets the basis for the elaboration of an exploitation strategy. Actions to remove exploitation barriers can be planned and exploitation steps can be defined for the rest of the project lifetime and beyond.

Common actions implemented in collaborative projects are:

  • Value Innovation analysis of the main project result (innovation compared to existent products/services/processes/methodologies).
  • Business case development.
  • Business models development.
  • Technology implementation plan.
  • Revision of current Standards & Norms and/or proposition for new ones.
  • Review of funding opportunities and financing facilities (from regional/national/European public funding to venture capitalists or other access to equity and debt facility).
  • Contact with public or private funding bodies (including business angels/venture capitalists).
  • Risk assessment and contingency plan concerning the future exploitation of project results (e.g. as part of a business plan).
  • Internal mediation on IP issues within the consortium (e.g. to solve ownership or access right issues).

Specific actions related to e.g. a market entry and market deployment strategy are not necessarily relevant for all projects and therefore less used:

  • Preparation work towards certification.
  • Full business plan (including Unique Selling Proposition and competitive advantage, marketing strategy and financial plan).
  • Commercialisation Roadmaps (for project results).
  • Replication plan (specific to demonstration projects).
Type V & VI: Actions to disseminate the project scientific and technical results to a scientific/technical audience

Dissemination is about the diffusion of the scientific and technical information to potential users. Dissemination actions are therefore essential for the successful exploitation of the project results.

Among dissemination actions, two categories may be distinguished. Those actions that establish a dialogue with potential users (two-way communication) and the others only intended for a one-way diffusion of the scientific and technical information.

It is for instance beneficial to establish a dialogue with potential cooperation partners (e.g. partners for further R&D) and end users to collect their feedback on the project results and train them on how to use those results. This category also includes actions to conclude technical or business cooperation agreements beyond the project. 

Actions used in the large majority (>75%) of collaborative projects are: 

  • Set up of a dissemination and communication plan (overall strategy and actions planned during the project).
  • Marketing with presentation/distribution of dissemination material (e.g. at scientific and industrial conferences and seminars).
  • Networking with other similar projects.
  • Workshop/seminars/webinars for potential end-users.

Further actions for the diffusion of scientific and technical information used in about 30-60% of the projects are (in decreasing order of use):

  • Scientific (e.g. peer reviewed) and technical articles (including trade magazine).
  • Listing of potential technology or business cooperation partners as well as potential end users.
  • Site visits/study tours (e.g. of demonstration sites).
  • Marketing with demonstrators (e.g. at trade fairs).
  • Best practices brochures/handbooks.

Further actions also used in about 30–60% of the projects and aiming at establishing a dialogue with potential cooperation partners or end users are (in decreasing level of use):

  • Professional trainings of end-users (face-to-face trainings as well as webinars or e-learning modules).
  • Marketing with demonstrators (e.g. at trade fairs).
  • Setup and consultation of a project advisory board (e.g. with industry/end-users) or any restricted stakeholders group with an advisory role on the project activities.
  • Participation in matchmaking events (e.g. including speed dating and elevator pitches).
  • Generation of partnership agreements with future technology/business cooperation partners.

Barely used but still an option is the generation of formal offer or request profiles of project partners looking for technical or business cooperation. Also seldom is the publication of a toolbox of project results for potential users/customers. 

Recommendations on how to choose the right set of actions for your project

The aim of exploitation activities is to enable and maximise the use of project results beyond the project. In particular the aim is to maximize the number of innovations introduced on the market coming from EU-funded project results. Getting well prepared for the future by undertaking specific actions during the funding period of the projects shall avoid that many potential innovations never reach the market.

There is however no statistically or “scientifically” proven link between the use of specific actions and the successful exploitation of project results as this depends on many internal but also external (e.g. market) factors. The CITyFiED study even revealed cases of successful projects whose exploitation did not rely on the implementation of a pre-defined set of exploitation activities and a centralised exploitation management but simply on the individual initiative of the partners to maximize their benefit from the project. Each consortium must therefore find its own way but a systematic and coordinated exploitation strategy can in the worst case simply support the partners (especially the less experienced of them in term of the management of IP) and in the best case be the key for successful exploitation beyond the project.

Basic recommendations are:

  • choose a good balance of actions – try first to consider all aspects (all 6 group of actions listed above),
  • choose then the most appropriate actions for your project, depending on the type of expected outcomes (commercial and marketable products or services, process/methodologies/concepts, publishable data, environmental/social benefits, standards etc.) and – for technological results – on the technology readiness level expected to be reached at the end of the project,
  • possibly customize further your planned activities by asking the partners about their specific needs and about market requirements – this may help you to focus on the most useful actions for your project,
  • consider regularly revising the pre-defined exploitation activities and strategy during your project.
Good practices in exploitation and market deployment

There is no specific report available in the literature which compiles good practices and lessons learned from collaborative projects in the field of Energy efficient Buildings and Smart Cities and Communities. Dedicated open questions in the CITyFiED survey as well as experts interviews therefore aimed at identifying good practices and recommendations for a successful exploitation of project results.

Six main groups of good practices could be identified from the questionnaire and expert interviews – examples taken from current or past European collaborative projects are given along the text below:

  • A good dissemination and exploitation plan with clear and tangible objectives as well as a common methodology for exploitation addressing all partners. This plan shall be revised during the project (e.g. at mid-term) to adapt to the needs of the project partners and of the market.
  • The organisation of internal exploitation workshops and seminars to establish an open dialogue between the partners, analyse the situation of the project and decide together on exploitation strategies.
  • The establishment of a Joint Exploitation Plan, including a clear definition of ownership, use and condition of use beyond the project.
  • The clear definition and identification of key stakeholders divided into specific target groups (profiling) and accordingly addressed through specific dissemination pathways (multiple channels). Consider using existing and well established external communication channels.
  • The involvement of stakeholders and direct contact with them as early as possible during the project. This can be in the form of consultation and decision boards (e.g. advisory or technology transfer boards) or follower groups, as well as in the frame of targeted actions such as surveys, interviews, seminars and workshops or technical trainings.
  • Networking and clustering activities with similar projects and initiatives.

Further recommendations from interviewed experts to enable a successful exploitation and market deployment are:

Further references and links
Useful links to clusters, platforms and initiatives

Project clusters and platforms in the field of energy efficiency in buildings or, more general, smart cities and communities may support the successful exploitation of the results of collaborative projects: