FUTURAL - IP and Exploitation Workshop.pdf

A FUTURAL online workshop on 𝗜𝗻𝘁𝗲𝗹𝗹𝗲𝗰𝘁𝘂𝗮𝗹 𝗣𝗿𝗼𝗽𝗲𝗿𝘁𝘆 (𝗜𝗣) conducted by RFF on 03/09/2024.

1. futural-project.eu
IP and exploitation workshop
Stavros Tsitouras
reframe.foodpartner
[email protected]
FundedbytheEuropeanUnion.Viewsandopinionsexpressedarehoweverthoseoftheauthor(s)onlyanddonotnecessarilyreflectthoseoftheEuropeanUnionorEuropean
ResearchExecutiveAgency.NeithertheEuropeanUnionnorthegrantingauthoritycanbeheldresponsibleforthem.
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2. futural-project.eu
02
IP Protection
Measures
01
Intellectual Property
(IP) and Intellectual
Property Rights (IPR)
03
IP in EU funded
projects
04
Exploitation and IP Strategy:
Next Steps and
Expectations
05
Q&A
AGENDA

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Intellectual Property Rights(IPR)
IP = Intellectual Property
IP = refers to creation of the
mind
IP = intangible assets (non-
physical property) which can be
traded
IPR = refers to all rights
associated with intangible assets
owned by a person or company
and protected against use
without consent
IPR = Intellectual Property Rights
Inventions, software code, new
methods, manuals/reports,
designs (aesthetic/functional),
symbols, databases, works of art,
music, videos, books, roadmaps,
etc.
Patents, copyright, industrial
designs, database rights,
trademarks, utility models, trade
secrets, know-how, confidential
information
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IntellectualProperty (IP)

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Why is it important to protect Intellectual Property?
Intellectual Property Rights, as exclusive rights, allow your organisationto prevent
competitors
from using your intangible assets.
Intellectual Property Rights require action: ownership ≠ protection
Therefore, it is crucial for your intellectual property asset to be:
BUT
PROTECTED MANAGED ENFORCED
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IP Protection Measures
Intellectual Property IPR (IP protection measure)
Books, computer programs, databases Copyright
Inventions Patents and utility models
Innovative designs
(Ornamental or aesthetic aspects of a product)
Industrial designs
Brands Trademarks
Any information that is not generally known,
confers a competitive edge and is subject to
reasonable efforts to maintain its secrecy
Trade secrets
Signs used on goods with a specific geo. origin,
which possess qualities, reputation or
characteristics mainly related to that place of origin
Geographical indications
A new, distinct, uniform and stable plant varietyPlant Variety Protection
It is important that businesses take proactive measures to protect their IP
assets so that they may continue to obtain the full financial benefit that IP
assets ultimately provide.
General
Principles
Principle of Territoriality
IP rights are territorial rights –the exclusive
rights are only applicable in the country or
region in which an IP protection measure has
been granted, in accordance with the law of
that country/region.
Rights Conferred
An IP right grants to its owner a temporary
monopoly over its creation. Nobody without his
authorisationmay use, commercialise, etc. the
protected asset.
Duration of the Protection
Copyright: 70 yrs after the death of the author
Patent: 20 yrs after the application
Ind. Designs: 25 yrs after the registration
Trademarks: indefinitely, as long as renewal
fees are paid
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Patents
Patent is a title
providing the
inventor and/or the
applicant with the
exclusive right to
prevent others from
possessing, using,
selling,
manufacturing and
importing the
patented invention
or offering to do any
of these things
within a territory.
What is Patentable What is not?
Onlytechnical inventionscan be patented!
An invention can be patented if:
✔PATENTABLE SUBJECT MATTER
✔NOVELTY
✔INVENTIVE STEP (NON-OBVIOUS)
✔INDUSTRIAL APPLICABILITY
Not inventions:
✔Discoveries, scientific theories
✔Mathematical methods
✔Schemes, rules or methods for playing
games / doing business
✔Presentations of information
✔Computer programs (ex. Source codes)
Non-patentable inventions:
✔Invention contrary to public
order/morality
A patent protects technical invention for a
limited time period (20 years) in a limited
geographic area.
IMPORTANT TO REMEMBER
oPatent documents are published–all technical knowledge is available to the public.
oA patent confers to its owner the exclusive rightto prevent others frommaking,
using, offering for sell, selling or importing defined invention.
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Patents
NATIONAL PATENT
•National rules
•An application filed before
your National Patent Office
(NPO) must be
accompanied by:
✔A specification containing a
detailed description of the
invention
✔One or more claims
✔Any drawing referred
✔The required filing fee
EUROPEAN PATENT
•Single application in one
official language may be
filed:
othrough your NPO
obefore the EPO
•Single set of fees
•Members of the EPC (38)
•Single procedure at EPO
•Validation in countries
after the grant
•One European patent in
the end
•Single application,
Single set of fees
•One language
•Patent protection in
up to 25 EU Member
States
•Application procedure
at EPO
UNITARY PATENT
•Single application, Single set of
fees
•One language
•Members of the PCT (152)
•Application procedure at WIPO
•National rules after entering
national phases
•PCT applications may be
submitted:
othrough your NPO
obefore the EPO
obefore WIPO
INTERNATIONAL
REGISTRATION
MAIN GRANTING
SYSTEMS
Patents are only viable in the
countries in which the
application is filed and then
granted.
Duration: 20 years with no
extension + annual fees every year
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Utility models and Differences with Patents
✔Utilitymodelsprotectminorinventionsorminorimprovementofexistingproducts.They
protectinventionsthatconsistofchangingtheconfiguration,structureorconstitutionofan
objecttoofferanadvantageinitsuseormanufacturing.
✔In the EU only 17 countries provide a process for utility models.
PATENTS UTILITY MODELS
•Worldwide novelty •National novelty
•Inventive step •Lower inventive threshold
•Application process up to 36 months •Application process up to 6 months
•20-year protection •Between 6 to 15 years of protection
•Expensive registration process •Cheaper registration process
•Patent protection is available in almost all
major countries.
•Utility model protection is available only in
some countries based on technology
•Conversion of the patent into the utility
model is always possible
•Conversion of utility model into a patent is
possible under certain circumstances.
Industrial applicability
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Industrial Design
Industrial design grants protection to the ornamental or aesthetic features of a
product. The right concerns merely the appearance of a product (i.e., shape,
ornamentation, pattern, configuration, line, colors, etc.), not the product itself.
The design can be protected if:
•NOVELTY(NOT DISCLOSED)
•INDIVIDUAL CHARACTER (DIFFERENT FROM
WHAT IS ALREADY PROTECTED)
Duration: renewable in 5-year periods up to 25 years
The EU has harmonisedindustrial design protection across EU countries and
introduced the Community design that offers unitary protection across the EU
through a single procedure.
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Trademarks
Trademark()isasignoracombinationofsignsusedintradetoidentifyand
distinguishthegoodsorservicesofonecompanyfromthoseofanother.A
trademarkownerisgrantedexclusiverightsto:
•use the mark in relation to the goods and services with respect to which it is
registered
•prevent others from using a substantially identical or deceptively similar mark in
relation to identical or similar good or services
•Duration: 10 years, renewal indefinitely
•Trademark requirements:
✔BE DISTINCTIVE
✔NOT BE DECEPTIVE
✔NOT BE DESCRIPTIVE
✔NOT BELONG TO THE EXCLUSIONS
PROVIDED BY LAW
✔BE IN CONFORMITY WITH PUBLIC ORDER
AND MORALITY
WHAT CAN BE
PROTECTED AS
TRADEMARK?
Words
Letters
Numerals
Pictures
Shapes
Colors
Combination of the
above
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Copyright and related rights
▪Copyrightprotectsliteraryandartisticworks,suchasnovels,musicandpaintings,
architecturalworks,etc.,butalsosoftwareanddatabases.Copyrightprotection
arisesautomaticallyuponcreationofthework,providedthatitisoriginal(noformal
registrationneeded)
▪CreativeCommonsprovidelicensesthatletcreatorssharetheirworkswithsome
rightsreserved,allowingotherstouse,adapt,ordistributeunderspecificconditions
▪Relationrightsarerelatedtotheprotectionofworksofauthorshipundercopyright.
Theirpurposeistoprotectlegalinterestsofcertainpersonsandlegalentitieswho
contributetomakingworksavailabletothepublic(i.e.,performingartists,
broadcasters,etc.)
▪Copyrightownersaretheonlyoneswhocandecidehowandwhocan:
•copyorreproduce
•distributetothepublic
•performinpublic
•translateintootherlanguages
•adapt,suchasnovelintoscreenplay…
Duration: the lifetime of the author + 70 years after
his/her death
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Confidential Business Information & Trade Secrets
The term“Soft IP” can be used to describe the intellectual assets which are
protected through IPRs but have an important business value.
Usually, this refers to know-howortrade secrets.
•No registration process –no registration fees
•BUT requires appropriate internal management (which might end up being
expensive)
CONFIDENTIAL INFORMATION TRADE SECRET
Competitive advantage confidential
information:
•Sales or Marketing Strategy
•Research Data
•Profit & Loss Data
•Business Plan
•Instructions
•Procedures
•Formulas, etc.
Personal confidential information:
•Customer Profiles
•Driver’s License Information
•Customer Bank Account Details, etc.
Confidential information is generally defined
specifically as a ‘trade secret’ if:
1)The information is not known or available to
the public and is used by the company
directly for business
2)The information provides the company with
an economic advantage
3)The company takes reasonable efforts to
protect the secrecy of the information
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IP in EU funded projects –IP Management in FUTURAL
A convincing outline of IP management and
exploitation strategies at individual and
consortium level within the proposal is an
essential element of the project.
Properly managing IP in the project
helps participants avoid future
conflicts among the consortium.
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.
1
2
3
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Key terms in the context of EU projects
BACKGROUND
RESULTS (IP)
ACCESS RIGHTS
EXPLOITATION
DISSEMINATION
1
What is in your
pocket?
What IP do you
already have
protected
Who has access
rights to your
pocket
(background)
and to the
results
(foreground)
Public disclosure.
Websites. Peer
reviewed
publications /
open access.
Conferences.
What will be
generated
during the
project?
What are the
results?
Using the results in
further research
activities.
Developing, creating
and marketing a
product/process/ser
vice. Standardisation
activities. Transfer of
results or licensing.
Spin –offs.
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Background IP
The IP assets that each partner is bringing to the project: Inventions, databases,
know–how, secret knowledge, methods, etc. …
IMPORTANT: Background IP must be identified in writing (managed by the CA)
Access rights on background –partners must give each other access to background
needed to implement their own tasks and exploit their own results
No obligation to give access if there are restrictions or limits (legal or otherwise) and
the partner has informed other partners
Access rights during project
implementation
Royalty –free (can be
changed)
Access rights after project
exploitation
On fair and reasonable
conditions (free?, monetary,
non-financial)
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The outcomes generated through the project -Inventions,
databases, know–how, secret knowledge, methods
Partners must give each other access to background needed to
implement their own tasks and exploit their own results
Who generates it –owns it
If the partners have jointly generated
the results and it is not possible to
establish their respective contribution,
the partners automatically become
joint owners.
Joint Ownership
agreement
(in writing)
Single
Ownership
Joint
Ownership
Results IP (AKA Foreground IP)
Ownership
of result
Access
rights to
results
The
Results
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Obligation to protect the results
Beware of unintended
disclosure!
If you want to protect something,
think carefully about disclosure.
Each partner must examine the
possibility of protecting its results if:
The results can reasonably
be expected to be
commercially or industrially
exploited
Protecting them is
possible, reasonable and
justified
Publication should be approved by
the IP Management partner as well
as the other partners involved with
content in question.
01
02
03
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Obligation todisseminate
No dissemination of results may take
place before decision is made
regarding their possible protection.
Project partners are obliged to disseminate the results
swiftly (i.e., to scientific community/broader public), by
any appropriate means.
Beware not to infringe third parties' intellectual
property rights!
Open access as a general principle of scientific
dissemination
Dissemination activities are listed in the
Exploitation and Dissemination Plan
01
02
03
04
All publications or any other type
of dissemination (also in
electronic form) shall include a
statement that the action
received financial support from
the EU –the same applies to
results incorporated in
standardisationactivities.
BUT:
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Obligation toexploit
Using them in
further research
activities
Developing, creating or
marketing a product or
process
Creating and
providing a
service
Using them in standardisation
activities or other use scenarios
such as to inform policy or for
educational purposes.
Project
partners are
obliged to
ensure
exploitation of
its results
(either directly
or indirectly;
in particular,
through
transfer or
licensing), by:
•Therefore,exploitationofprojectresultscanbecommercialandnon-commercial
•TheEuropeanCommissionencouragestheuseoftheR&Iresultsthroughthird-partyexploitation(whereappropriate).
•Ifdespitethebesteffortforexploitationnouptakehappenswithinaspecificperiodaftertheendoftheproject(1year),
thentheprojectmustusetheHorizonResultsPlatformtomakeexploitableresultsvisible
02 03 0401
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Open Science –Open Access
MANDATORY
for Horizon projects
Can opt out if there are
legitimate reasons
Enhances innovation
capacity
Validates research
results and data
for scientific
publications
for research data
For scientific
publications immediate
open access through
trusted repository will
be expected. >
Platinum Open
Access
OPEN ≠
UNPROTECTED
works in open access are usually
protected by copyright and related
rights, other IP rights may protect the
underlying content
Copyrightprotects the contents (the data)
Database right protects thecollectionif there has been a “substantial
investment” in obtaining, verifying, or presenting the contents of the database
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Exploitation and IP Strategy:
Next steps & Expectations
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Key Exploitable Results (KERs)
⮚FUTURALwill manage KERs by aligning them with its IP strategy, ensuring effective validation, clear
ownership, and sustainable exploitation.
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⮚FUTURALhas identified four (4) key exploitable results (KERs)that
will be available for use/reuse by partners and target groups
stakeholders.

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Our basic tool for Exploitation and IP
FIRST STEP
“Exploitation & IP Catalogue” online
tool
In this tool, the list of the identified KERs is
provided where partners are asked to
state:
•scope of exploitation
•KERs’ target groups
•means of exploitation
+Identification of possible KERs and IPRs
that derive from the exploitation of the
identified project’s results.
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KER1: SMART SOLUTIONS
SCOPE 1.Societal
2.Scientific
3.Commercial
4.Policy-making
MEANS ICCS: Generally, the developed web platforms of the SS will be open source and delivered to the MAPS. In addition, ICCS will
adapt its existing mobile app (CirculAR) to implement decision-support tools that guide sustainable practices. In particular, a
mobile app will show Biodiversity Scores, aiding in preventive measures against biodiversity loss. In addition, farmers shallbe
able to report incidents and sightings of bisonsin the area to the relevant authorities as well as provide feedback to adapt and
enhance biodiversity management strategies.
Tecnalia:Commercial licensing to a third party company or as a service provided by Tecnalia
Alchemia:Describe methodology in publication together with results from FUTURAL test implementation; share at suitable
conferences and Circular Talks for example
LC: Possibility of the smart solutions being implemented in Kythira and Jonava, based on the Fix My Street web service to be
rolled out in other local administrations across Europe, benefitting from the knowledge and experience in the FUTURAL
project. In some cases, such as the Kythira instance of the Fix My Street platform , the web service may be combined with
other solutions to better address the needs of the local community.
LINKED IPRs Tecnalia: Confidentiality, Software Register (Device firmware, ISHM algorithm, Cloud Platform source code)
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KER2: METASEARCH PLATFORM
SCOPE 1.Scientific
2.Societal
MEANS ICCS: The middleware application that will be developed to enable the integration of the SS
to the Metasearch platform can be used as an access point for research outputs,
increasing accessibility and cross-disciplinary collaboration.
LINKED
IPRs
-
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KER 3: BUSINESS MODELS
SCOPE 1.Commercial
2.Other
MEANS ICCS:Creating partnerships with technology providers to deliver integrated solutions
tailored for rural areas.
LINKED
IPRs
-

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KER4: POLICY RECOMMENDATIONS AND TOOLKIT
SCOPE 1.Policy-making
2.Other
MEANS
LINKED
IPRs
-

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Exploitation Strategy
❑Inclusion of newly identified KERs:
❑Identification of possible additional exploitable results that may be
developed during the project
❑A workshop will be organisedby RFF to finaliseagreements on
results’ exploitation, in case it is considered necessary
When oneormore
partnersidentifyanew
KER,thepartnerhasto
informRFFandthe
Coordinatorprovidinga
detailedexplanationofthe
exploitabilitypotentialof
theidentifiedresultby
makingsureitalignswith
theprojectexploitation
plan.
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SECOND STEP

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Exploitation Strategy
29
Refers to the assessment of the
exploitation strategy for each KER.
To efficiently determine involvement
of project partners in each of the
KERs the BFMULO Matrix will be
implemented
B= IPR’s on background information,
information
F= IPR’s on foreground information
M= Making the products
U= Using the result, implemented with
own knowledge to develop new ranges
of products or newer processing
L= Licensing the result
O = Other, any other exploitation means
THIRD STEP
Short name KER1 KER2 KER3 KER4
AUA
UNIPI
ICCS
AEIDL
UPB
RFF
Tecnalia
Alchemia
ART21
IHE-DELFT
DLR
LC
Pongau
BIRDA
KIPA
Durangaldea
Jonava
PWV
Aquatim
PREPARE
ERCA
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Exploitation Strategy
30
U= Using the result, implemented with
own knowledge to develop new ranges
of products or newer processing
O =Other, any other exploitation means
THIRD STEP | example
Short name KER1
AUA U, O
UNIPI U, O
ICCS F, M, U, L
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F = IPR’son foreground information
M =Making the products
U = Using the result, implemented with own knowledge to
develop new ranges of products or newer processing
L =Licensing the result

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The fourth step for each KER requires a unique exploitation approach.
The characterization table will be offered to partners to further define exploitable results.
Exploitation Strategy
FOURTH STEP
CHARACTERISATION OF EXPLOITABLE RESULTS
MARKET
Whowillthecustomerbeandwhatbenefitswilltheyreceive?
Whatistheanticipatedtimeforthemarketlaunch?
WhatisthesizeofthemarketinM€andtherelevanttrends?
Whatistheapproximatepricerangeofthisresultandpriceofrelevantlicenses?
Whoarethecompetitors?
Howwillthisresultrankagainstcompetingproducts/servicesintermsofpriceand/orperformance?
STEPS
TOWARDS
EXPLOITATION
Whenistheexpecteddateofachievement?
Whataretheforeseenbarrierstosuccessfulimplementation?
Whatarethecostsincurred(ifany)aftertheprojectandbeforeexploitation?
Whichpartnerswillbeinvolvedinresultsdevelopment?
IPR STATUS Haveyouprotectedorwillyouprotectthisresult?How?When?
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IP Management in FUTURAL
When one or more
partners identify a new
IPR, the partner must
inform the Coordinator
and RFF providing a
detailed explanation of
the protection potential
of the exploitable result.•Inclusion of newly identified KERs:
•The identification of new IPRs is closely related to the
identification process of KERs described above.
•1 more Exploitation and IP workshop will be organisedby RFF,
aiming to maximisethe possibilities of identification, clarify
ownership and ensure the alignment of the consortium
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IP Management in FUTURAL
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CREATION OF IPR MANAGEMENT GROUP
Every partner will need to nominate a person as an IPR Manager for the FUTURAL project. The “List
of IPR Managers” will be filled in by every partner (IPR Manager name and Email) in a future
version of the Exploitation and IP catalogue file.
IPR Manager will attend IPR management group meetings.
Functions and responsibilitiesof IPR Manager:
○Develop an inventory of IP assets: correct and updated.
○Resolve IP-related conflicts with other partners.
○Review and improve IP procedures if new issues arising.
○Raise a dispute to IP: ONLYan IPR Manager can raise it.
○Deal with disputes and/or concerns for Exploitation and Dissemination.
IPR management group review meetings will take place upon request to do so.

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IP Dispute Procedure in FUTURAL
IP dispute arises when an IP notification is received and one or more
partners do not agree with an aspect of the notification: it may be due to
ownership, IP description or dependencies.
Who can raise a dispute to IP?Only an IPR Manager can raise it.
How to raise a dispute to IP? By notifying the Coordinator and RFF of the
claim to IP, evidence gathered will be provided.
When can an IP dispute be raised? Within 15 days after the reception of
IP notification.
What comes next? Coordinator will consider the reasons given and will
open or discard a dispute with the other partner.
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IP Management in FUTURAL
IP CONFLICT RESOLUTION PROCEDURE
The Coordinator will identify the conflicting partners, the
specific IP in question, the scope of the conflict and their
claims to the IP.
Every IPR Manager involved in the conflict will collect all
relevant documentation related to the IP.
Conflicting partners have 15 days to reach an agreement.
Coordinator will call the conflicting parties after 15 days
to track the agreement.
Is there an IP agreement?
Yes?agreed IP notification to RFF
No?IP conflict is escalated by coordinator to GA to take a
decision.
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IP Management in FUTURAL
IP DISPUTE PROCEDURE
IP update: Adding new IP to the inventory (Foreground).
WhencanIPbeupdated?WhentherearenoIPdisputes
oragreementhasbeenreachedbetweenparties.
WhocanupdateIP?RFFwillupdatethedocumentandwill
informthecoordinatorabouttheIPassetadded.
The IP inventory is formally approved at the General
Assembly meeting.
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Approval process for Publications
›RFF team should be informed as
soon as any partner initiate the idea
›Co-authors should be involved
whenever reasonable
›Authors should personally contact
partners if their interests may be
concerned
›Partners may give conditional
approval i.e., they may express
restrictions and/or request a final
approval of the paper
FINALAPPROVAL
WHITEPAPER/
PRESENTATION
›Recommendation and restrictions
shall be considered by the author(s)
›Critical issues should be resolved as
soon as possible
›Normaliseddata may be used if no
cross-reference to absolute data is
made or can be easily concluded
›Ensure patents/designs are filled by
the owner prior to submission
›Own and partners IPRs or pending
IPRs should be marked
›All partners shall approve in a timely
manner
›Prior notice of any planned
publication shall be given to the
other Parties at least 45 calendar
days before the publication.
›Any objection to the planned
publication shall be made by written
notice to the Coordinator and to the
Party or Parties proposing the
›dissemination within 30 calendar
days after receipt of the notice.
›No response shall be considered as
approval
›All partners shall treat the
publications as confidential
information until it is finally
published
ABSTRACT
•Free of confidential information, unless approved and/or intended by the
owner.
•Free of declared background & foreground IPRs of partners.
•Approved by the publishing party to be free of IPRs in process and declare the
pending IPRs.
•Attracting attention and convincing stakeholders.
•In accordance with the funding regulations.
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PARTNERS