the european r&i program h2020: "linking research with innovation to create impact in...

Frank Heemskerk © RIMS May 2014 Tunis

The European R&I program H2020:

"linking Research with Innovation to

create Impact in Society"

Tunis, May 2014

2

Structure:Structure: - what is H2020?

- how to build a consortium

- successful proposal writing through the eyes of

an evaluator

- what is meant with 'impact'?

- IPR issues in public-private partnerships

- food for thought, Strategic elements for

discussion


3

AboutAbout the presenterthe presenter……

Academic research (15 yr): Medicine+Biology, PhD

NL (Utrecht), USA (NIH), FR (Pasteur), BE

>42 int’l grants, working with industrial partners

Industry experience (17 yr): Biotech/Pharma, Research

Management, contracts, IPR, licensing, partnerships

with academia, merger, multiple private investments

International Research Management: Biotech/Pharma,

2x President EARMA, founder ProTon Europe Assoc

founder and CEO RIMS bvba: 2002

Board member/investor of several start-up companies

Senior Associate European Inst Asian Studies- EIAS

Consultant& Evaluator EU, CPD Trainer & Coach

International Cooperation globally (own network of

organizations Latin Am, Africa, SE-Asia, Europe)


4

Knowledge

Strategy building

Experienced management

Research Development

Risk control

Shorter time to market

access to new markets

Innovation

Expert partners Consortium building

and public funding

Sufficient capacity Sufficient private funding

Services

Products Suppliers

There is more to it than just R&D skills…There is more to it than just R&D skills…


Legal support

5

RIMS can help you to move the RIMS can help you to move the

Research idea all the way to Commercialisation:Research idea all the way to Commercialisation:

1. Analyze and optimize your R&D strategy: help to find partners and build international academia/industry

consortia manage resources get access to international funding sources

2. Research Management & Administration of larger (international/

European) projects: structured proposal development (+ help with submission

process ) negotiations implementation and governance(as management partner) final reporting knowledge transfer

3. Training workshops in International Research Management and Knowledge Transfer

4. Hands-on Innovation management in start-up phase until Exit

From Laboratory to Market:


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Your partner for Research Management/ Knowledge Transfer on a global level: - Academic + Industry expertise

- Clients range from SMEs, Research Institutes to big corporations (Johnson&Johnson, GSK) and governments

- long track record (>42 EU projects, Evaluator for European Commission)

- A global network of organizations (> 4 000)

- Strategic Partner in Business Development, Sustainable Development and Capacity Building projects

- advice on public and private Finance, Business Angel Investor

- Managerial hands-on involvement

- Clear focus on Life Sciences-Biotechnologies (Health, Agro, food) and related ICT fields (e-health, assisted living)

- ‘Bench to Bedside’ / ‘Farm to Fork’ approach

- Long experience with working in non-european contexts.....

RIMS can provide you with valuable assets:RIMS can provide you with valuable assets:


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Background Background linking Research to Innovation for Valorisation


8 Frank Heemskerk © RIMS May 2014 Tunis

Global Policy Context:

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Knowledge triangle:Knowledge triangle:

Knowledge for Growth:

Socio-Economic return

Research

Education Innovation

jobs, growth Intellectual

Social

Economical


But HOW?


Project Management and Value chainProject Management and Value chain

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Why R&D/ Innovation funding?

• Where is the Value in joint R&D projects?

• Innovate products (#, quality, etc) and processes

• Feed pipeline with new/ improve products (students, courses, tools)

• Diversify portfolio (projects), enter new markets, higher visibility

• Why collaborate?:

• Access to new knowledge

• Access to unique infrastructure

• Access to valuable materials, information dbases

• Achieve critical mass (work faster/disseminate wider/ increase visibility)

• Access to new experts (future staff?)

• obtain public funding to lower the risks

Invest Invest

Innovate

Internationalise


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International Challenges:

• Increased need for a multidisciplinary approach to approach

complex problems

• Not all expertise or capacity is available in house to do that alone

• Demand for more exploitation of R&D (towards ‘Knowledge

driven Societies’)

BUT:

• usually no cross border funding from national agencies

• Language differences

• Cultural differences

=> Complexity with Quality => Management issues….

=> Responsible partnering across sectors

WHYWHY International International public public fundingfunding??


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AlsoAlso, Europe , Europe can’tcan’t do do thisthis alonealone eithereither::

•Science is global activity

•Competition is global

•Challenges are common and global

•Problems are increasingly complex/ require complex infrastr.

•Problems in e.g. Africa directly affect Europe too

•Local assets and environments are unique

=>

Need for international cooperation


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Know-How

Components

Materials

Know-How

Components

Materials

Prototypes Prototypes Products

Products

Services Business Cases Business Cases Distributeurs Distributeurs

Market Market TRL9

TRL6

Innovation

Chain

TRL6

TRL1

Users Users

VALUE CHAIN


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Find the Balance:

• When to outsource or subcontract? (no IPR, full cost, full control)

• When to buy-in? (access to IPR, partial costs, but control?)

• When to co-develop/ joint-venture? (shared IPR, shared costs, but marketing

and risks?)

• How to coordinate when playing multiple roles?: strategy + contract

management

• =>What kind of partner are you? e.g. 4 types of SMEs:

R&D performer Co-developer

Subcontractor Late active adopter Front edge early adopter

(Passive user)

R&D level

User involvement


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ProposalProposal writingwriting: issues to : issues to bebe consideredconsidered

1. How might I develop my project ideas into viable

proposals?

2. How do I align my project with donor’s objectives?

3. What do reviewers look for in winning project

proposals?

4. What are key funding do’s and don’ts?

5. How best to protect & commercialize my research

results?

Need for partners, you can’t do this alone: teamwork

16 © Fit for Health 2.0, 2014


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Step 1: Register your organization and get a PIC:



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http://ec.europa.eu/research/participants/docs/h2020-funding-guide/index_en.htm


Frank Heemskerk © RIMS

May 2014 Tunis

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PHCPHC--18 18 Work Work Programme Programme 20142014--2015: 2015: exampleexample

'PHC 18 – 2015'

'Specific challenge'

'Scope'

'Expected impact'

'Type of action'

© Fit for Health 2.0, 2014 Frank Heemskerk © RIMS May 2014 Tunis

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How to proceed?

How to covert an Idea into a Project proposal?

How to build a consortium

Do’s and don’ts?


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How to prepare a PROPOSAL:

Take it as a project in itself:

Scope, tasks/ delegation, time, resources….

READ the Workprogram, call text, additional documents

Templates

Submit ALL elements on time !

Lobbying:

use NCP’s, local support

Follow-up:

Timing, evaluation, negotiation

Use your partners, trust your Coordinator! but defend your own position !

IPR !!

Websites, tools

get professional help.....


22

How to start?How to start?

Define the problem (e.g. medical need)

Identify the stakeholders (patients, industry, etc)

Define the requirements (e.g. Drug, quality, state of the art)

Define resources needed (costs, people, partners)

Identity risks (failure, competition,)

Work to process (what, who, when, how, what if)

Evaluation, managing and control the structure


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Project aims – Project results

A clear coherence between project aims and

project results is the foundation for describing

the impact

Milestones

It must be clear which results are expected!

Overall Aims

Specific Aims

Work packages

/ Tasks Project Results

© Fit for Health 2.0, 2014 Frank Heemskerk © RIMS May 2014 Tunis

24

Use Methodologies:Use Methodologies:

1. IDEA:

novelty/challenge, scope/ final objective, develop a summary

2. FIND partners to form a consortium:

complementarity, divide roles and tasks, fill in gaps, agree on

cooperation mode

3. DEVELOP proposal structure:

fine tune Objectives, design Workplan with work packages

4. WRITE proposal:

Positioning, Workplan, Budget, governance, exploitation strategy +

explain how to generate socio-economic Impact

5. EXECUTE and CLOSE project:

pro-active Management, quality administration, quality and timely

reporting, same for dissemination during project

proper closure, (sustainable) exploitation of results



Just writing some Objectives is not enough: complex Just writing some Objectives is not enough: complex

projects are based on agreement between the right projects are based on agreement between the right

teams ....teams ....

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Exercise:


- Problem to

WHAT

- Problem to address?

- Scope?

WHAT

- To do?

- Achieve what?

HOW

- To implement?

Where

- To act?

When

- timing?

- sequences?

WHO

- Can do what?

WHO

- Can use results?

- How to create

impact?

5: dissemination,

exploitation,

commercialization 6 Res Management & Admin

1 analyze, map

2 develop 3 test, validate

4 upscale

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Structure Part B:Structure Part B:

Administrative form templates : • -a general section where the basic proposal details are filled in by the coordinator

• -a list of declarations

• -participants' and contact persons' data

• -budget breakdown by organization and cost category

• -ethical issues table: http://ec.europa.eu/research/participants/docs/h2020-

funding-guide/cross-cutting-issues/ethics_en.htm

• -call specific questions (if relevant) and gender aspects

Science/Technology part:

fill in core of your proposal (next slide)

Stage

1

Step 3+4: pre-register with PIC and enter organizational/

admin data in online structured templates:



http://ec.europa.eu/research/participants/docs/h2020-funding-guide/cross-cutting-issues/ethics_en.htm











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Structure Part B:Structure Part B:

1: Scientific and/or technical Excellence, related to the topics in the call 1.1 Objectives 1.2 Relation to the work programme 1.3. Concept and approach 1.4. Ambition

2: Impact 2.1 Expected impacts 2.2 Measures to maximise impact

- a)Dissemination and exploitation of results - Communication activities

3:Implementation 3.1 Work plan – Work Packages, deliverables and milestones 3.2 Management structure and procedures 3.3 Consortium as a whole 3.4 Resources to be committed

4: Members of the consortium 4.1 Participants (applicants) 4.2 Third parties involved in the project (including use of third party resources)

5: Ethics and Security 5.1 Ethics 5.2 Security

Administrative form templates :

Science/Technology part: in Technical ANNEX (download from system

Stage 1

Stage 2

Step 5: enter organizational/ admin data

in online structured template:



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a few definitions:a few definitions:

A work package is a major sub-division of the proposed

project with a verifiable end-point – normally a

deliverable or a milestone in the overall project.

A deliverable represents a verifiable output of the

project. Normally, each work package will produce

one or more deliverables during its lifetime. Deliverables

are often written reports but can also take another form,

for example the completion of a prototype etc.

Milestones are control points where decisions are needed with regard to the next stage of the project.



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Expected impacts as listed in the work program

• Contribution towards expected impacts in WP (European policy, Europe 2020, environment)

Social impact: data, statistics.

• Steps needed

• why a European (rather than a national or local) approach?

• account of other national or international research activities? Relations

• assumptions and external factors

Expected Impact



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Basic example Project Management & OrganizationBasic example Project Management & Organization

Project

Advisory

Committee

Project

Board(WP

leaders) (all

partners)

Protocol

development

Team

Working Groups (per

workpackages)

Cooördinator Eur. Commission



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mostly 2 stage submissions: 7 page only in stage 1

very strict page limits (for sections 1-3)

template will provide context related help information (no Guide for Applicants anymore)

work packages now in Part 3

new tables for risk and costs

partner description in Part 4 (with CVs!)

section on Ethics

security and gender issues in the Annexes

See H2020 Manual:

http://ec.europa.eu/research/participants/docs/h2020-funding-guide/grants/applying-for-funding/submit-proposals_en.htm

The following parts of the proposal do not have page limits:

the administrative information

description of the consortium

the ethics annex including any supporting documents.

New (as compared to FP7):New (as compared to FP7):
















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Evaluation: useful tips and links

Eligible proposals:

- Submitted through the e-system before deadline !!

- Complete (incl. admin part !), readable and printable

Financial capacity: see Financial regulations and follow Rules for Participation

Operational Capacity check:

- CV or profile descript of key persons

- List of max 5 publi’s/products/services

- List of max 5 key projects/activities relevant to the proposed work

- Description of 3rd parties (active working entities that rare not partners: e.g.

hospital pharmacies, provision of access to ICT resources, other facilities)

- Descript of any significant infrastructure, major equipment, etc

- Include a draft Exploitation & Dissemination plan (2nd stage)

- very strict page limits within template: excess pages will be marked with

watermark and will be disregarded by evaluators

See H2020-WP1415 annex B


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Evaluation: the entire process


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http://ec.europa.eu/research/participants/portal/desktop/en

/experts/index.html

The best training is to become an expert

Evaluator yourself !



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Why is this so important?


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Evaluation Evaluation criteria H2020 of EUcriteria H2020 of EU

EXCELLENCE

“relevant to the topics

addressed by the call and

credible approach”

IMPACT

“outputs of the project should

contribute at the European and/or

International level”

IMPLEMENTATION

“Quality and efficiency of the

implementation”

• Soundness of the concept,

including trans-disciplinary

considerations, where

relevant;

• Extent that proposed work is

ambitious, has innovation

potential, and is beyond the

state of the art (e.g. ground-

breaking objectives, novel

concepts and approaches)

• Enhancing innovation capacity

+ new knowledge integration

• Strengthening the

competitiveness and growth of

companies by developing

innovations meeting the needs

of European and global markets

&, if relevant, to deliver these

innovations to their markets

• other environmental and

socially important impacts

• Effectiveness of Exploitation

/Dissemination of Results (incl.

data& IPR management)

• Coherence &effectiveness of

work packages in work plan

• Appropriate allocation of

tasks and resources (budget,

staff, equipment)

• Quality of the consortium as a

whole (including

complementarity, balance)

• Appropriate management

structure and procedures, incl. risk and innovation management

1 2 3 Min threshold: 4/5 Min threshold: 3/5

Evaluation criteria applicable to

Collaborative project proposals,

see H2020_WP1415_annex H



Market

Seed, BA, FFF Local VC Int’l VC IPO

Value

Perceived Risk

Research

Technol-Commercial

Industrialize

Cash needs

Development

Validate Prototypes

Funding

Parallel Product Development

& Transfer at right moment

The Innovation Value chain: Risk perceptionThe Innovation Value chain: Risk perception and who plays which Role?and who plays which Role?


rest of Society/

Government:

Industry

Academia

Investors

regulatory

ethical

legal

fiscal

infrastructure

education!

Community

involvement

understanding

cooperation

exchange

Understanding

matching

expectations

and in Life Sciences it’s not that simple….


Who gets in first?Who gets in first?


Negotiations !Negotiations !


Academic issues:Academic issues:

•Confidentiality (conferences, students, temp staff,

patenting)

•Protect vs time to publish (permission)

•Material transfer issues

•Lab records (signatures, consistency)

•Quality control issues (originan data, consistency,

security)

•Ethics (access vs privacy, animal and human rights)

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IPR issues in Collaborative projectsIPR issues in Collaborative projects


Background Knowledge

Foreground Knowledge

Revenue sharing

3rd party licensing

Access rights for

own use

Access rights for

commercial use

IPR: patents, licenses, models, authorship, copyrights, TMs, dbases,

materials, etc (confidentiaity issues, material/ data transfer issues)

Excluded, - list Included, + list


1. Different timelines (days, years)

2. different Expectations (%, €)

3. Lack of insight in business development in academia

4. Insufficient capacity (€, investment) to deliver

5. Organizational capacity (signing contracts, infrastructure)

6. Differences in Management culture and experience

7. Differences in legal and financial context !!

8. Quality Communication!

PLUS: beware of International differences: financial, cultural

and legal frameworks differ !

AcademiaAcademia--Industry Cooperation: Industry Cooperation: other other ChallengesChallenges


Sharing/Transfering Knowledge in a Responsible manner

- share IP under Open Innovation contract

- share risk according to role

- share revenues through milestone payment

see: Responsible Partnering Guidelines (see links on EUA,

EARMA, EIRMA, ASPT-ProTon-Europe websites)

intellectual capital

profit

image/goodwill

ExamplesExamples of of goodgood practisepractise::

46

Examples and casesExamples and cases



Case 1: Key role of Dissemination in Creating a new

Market & Impact

intellectual capital

market

profit



Main objectivesMain objectives

To develop a novel concept of compact, high efficiency and cost-effective

waste treatment plant for water recycling in textile finishing.

The idea builds on the application and further development of the know-how,

developed by the European Space Agency, on membrane bioreactors for

100% water recycling in micro-ecological space-life support systems.

Collective Research Example: SPACE2TEXCollective Research Example: SPACE2TEX


Expected economic benefits

Water and energy savings,

Water treatment cost savings,

Sludge recovery costs

Main strategic & social benefits

Opening a new market for MB technology in textile waste water recycling, worth 165 M€/year in the medium term in Europe Improve the QUALITY OF LIFE AND HEALTH for the European citizens,

Improve COMPETITIVENESS of the textile finishing and hence creating new employment opportunities for estimated 12.400 people by 2010,

ENERGY SAVING from warm water and reduction of estimated 700 thousands of tons CO2.



Publications open

WWW-server

RTD performers

Industrial Associations

Associated Companies

Dissemination to

Third Party; Scientific community

open

WWW-server

Reporting

Workshops

Conferences

SME Core Group



Example 2:Example 2: Thematic international Cluster:

translational research to market


Small M Curie Chair project:

Top female specialist USA => Central European country

Idea => Chair at University + research program on HIV vaccine (Nanomedicine)

VALUE coming out:

Develop a Clinical trials vaccine cluster: building up specific expertise

Develop larger international Consortium to do world class R&D and attract more public funded € projects

Center of Excellence that is unique for Central-East Europe

High level training events in specialist areas

Now a spin-off company (jobs)

+ leverage for investment (private €)

International Thematic Cluster on NanoMedicine:International Thematic Cluster on NanoMedicine:


Cluster Strategic Product Development Plan:Cluster Strategic Product Development Plan:

© VTC ImmuneTherapy cluster

Transfer to othersTransfer to others

New ideas pipelineNew ideas pipeline

Build prototypesBuild prototypes Test with patients: safety+efficacyTest with patients: safety+efficacy

Example:Example:


Example 3: - new research => public €

- improved efficiency and organization

- bigger capacity that can be re-utilized for

other products

- enhance product pipeline

- company growth => jobs and private €

55

Versatile Versatile R&D environments:R&D environments:

Res

R&D Platform

Know how

Dev

High-end Services

Products

Key end user

to validate

clients A

A

A

A

A

I

I

I to validate

A


56

PhenotypicPhenotypic

DatabaseDatabase

GenotypicGenotypic

DatabaseDatabase

Understanding HIV Drug resistance is the key

to designing new drugs:

UHTS UHTS

PhenotypingPhenotyping

Treatment

monitoring

tools

New Drugs

BioinformaticsBioinformatics

GenomicsGenomics

Drug

Targets

Pharmacogenomics enginePharmacogenomics engine

DrugDrug Discovery & DevelopmentDiscovery & Development

PlatformsPlatforms



Create leverage (industry case):

Idea for proprietary HIV assay => patent + specific know how + unique proprietary dbase

1. Enables faster drug discovery progam (core) => attract investment 1 for drug development (Tibotec)

2. Enables Spin-off company for diagnostics=> short term revenue stream (Virco)

3. Enables to attract investment 2 for capacity development =>

result: Real GROWTH

• Tibotec (started 1994) - Virco (started 1995)

• 1998: 28 people

• 2002: 250 people and acquired by Johnson& Johnson (500 M€)

• 2010: 670 people and 2 drugs on the market (blockbuster...)

Company example 4: Flemish region of Belgium


Case 4: Clinical Studies in Africa:

invest in infrastructure and people to create Impact

issue: no infrastructure to support studies + therapy

compliance in long term: key role for NGO

- roads, sewer

- schools, childcare

- training/professional education

- medical supply

people

image/goodwill

planet profit


59

Successful industry partnerships are based on:

A) complementary R&D capacity

B) track record w/ external funding (public and/or

private)

C) track record w/ industry- academia cooperation

D) familiarity w/ IPR _ Finance management

See: “Responsible Partnering Guidelines” handbook:

http://www.eua.be/eua-work-and-policy-area/research-and-

innovation/Responsible-Partnering-Initiative.aspx


http://www.eua.be/eua-work-and-policy-area/research-and-innovation/Responsible-Partnering-Initiative.aspx


















1. Focus NOT only on Tech Transfer and short term returns (# of

licenses transferred, milestone and royalty payments received, etc)

2. Do Focus on VALUE building for multiple stakeholders (who are the

potential beneficiaries around the University? How can there be a socio-

economic return for the University?)

socio-economic IMPACT elsewhere

3. Make optimal use of the assets and resources of partners in local

and global networks and work through consorti

4. If you Focus on joint provision of solutions (not on products) with

the right Business Model, plenty of revenue/ funding can follow !

Conclusions Conclusions -- Recommendations:Recommendations:


Sust Devlpmt is about building socio-economic value for the

Community that can become financially self-supporting:

intangibles and to manage them not as cost elements, but as

investments in PPP

- Social capital (People, Knowledge, Skills, Health, Qual. Life)

- Intellectual capital (Profit, Research, IP => Innovation of

product/service portfolio)

- Goodwill (People => Profit, Growth, new Markets)

- Environmental capital (Planet, waste as resource)

nb: these are interconnected !

FoodFood forfor thoughtthought::

62

Food for thought, elements for discussion



Right timing for innovation....Right timing for innovation....


Know-How

Components

Materials

Know-How

Components

Materials

Prototypes Prototypes Products

Products

Services Business Cases Business Cases Distributeurs Distributeurs

Market Market TRL9

TRL6

Innovation

Chain

TRL6

TRL1

Users Users

VALUE CHAIN

SOCIAL + INTELLECTUAL

goodwill + ENVIRONMENT+

66

How to How to start developing a balanced start developing a balanced

Business Plan?Business Plan?

Define the problem (e.g. medical need + target market niche) and WHO is the (paying) customer

Identify the stakeholders (patients, industry, regulatory, etc)

Define the requirements (e.g. drug, quality, state of the art)

Define Business Model

Define resources needed (costs, people, partners), especially the skill set of the core team

Work the process (what, who, when, how, what if)

Identify and evaluate risks (technical failure, cash flow, competition, slow adoption, etc)

managing culture, control levels and risk management, the governance structure, advisors and innovation for growth


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Project

Leader

Technical

Expert Consultant

Security

Expert

Union

Rep

Communication

Expert

Project

Leader

Assistant

project

leader

ICT

expert

Expert

logistics

Project: City Development


Poor Scientist

Management PitfallsManagement Pitfalls

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Leadership: essential, but not sufficient...Leadership: essential, but not sufficient...

“And stop telling me

everyone has his own way of

doing things !”


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Soft Skills:

- Networking !

- Teamwork

- Presentation skills !

- Empathy

- negotiation skills

Hard Skills:

- scientific/technical knowledge across

disciplines

- Project management

- Time management

- Budgeting


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Communication PitfallsCommunication Pitfalls


Culture

Poor project

definition Poor

Communication

No ownership

No champion

Poor planning

Not aligned with

organization Insufficient

resources Inappropriate

structure lack of control

Organisation

People

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“International/public entrepreneurship in a complex network

environment: you need professionals to enable the different players to

act together”


LLearn to listen to each other and cooperateearn to listen to each other and cooperate


Research & Innovation

Management Services bvba

Dr Frank Heemskerk

E= [email protected]

Tel.: +32 16 474092

W= www.rimsinternational.eu

Further informationFurther information

Thank you for your attention.

the european r&i program h2020: "linking research with innovation to create impact in...

Science

research idea

research institutes

europe frank heemskerk

rd skills frank heemskerk

handson innovation management

ceo rims bvba

society tunis

international funding