d5.1 report on standardization opportunities and proposals · d5.1 - report on standardization...

Project co-funded by the European Union within NMP priority of the Seventh RTD Framework Programme (2007-13) Copyright © EXPLORE Consortium (www.explore-fp7.eu) • All Rights reserved

Project acronym: EXPLORE Project title: Extended Exploitation of European Research Projects Knowledge and Results Grant Agreement Number: 609226 Type of funding scheme: Coordination and support actions Topics addressed: FP7-NMP-2013-CSA-7 4.0-4

DELIVERABLE

D5.1 – Report on Standardization opportunities and proposals

Version 5.00 - 22/07/2015

http://www.explore-fp7.eu/

D5.1 - Report on Standardization opportunities and proposals 2

Document Information

Deliverable Number D5.1 Deliverable title Standardization opportunities and proposals Due date of deliverable according to DOW Month 20 Actual submission date of deliverable Month 23 Author(s) Fhg IPA, CECIMO Participants Michael Eisele, Kamila Slupek Reviewer(s) INESC, POLIMI, CECIMO Work package 5 Work package leader FPM Dissemination level Public Version 5.00

Revision History Revision Date Author Organization Description

1.0 - - - Document template

2.0 22.04.2015 Michael Eisele FhG IPA content structure 3.0 20.05.2015 Michael Eisele

Kamila Slupek FhG IPA CECIMO

75% draft as a status

4.0 1.6.2015 Michael Eisele Kamila Slupek

FhG IPA CECIMO

95% draft to be reviewed


FhG IPA CECIMO

4.0 including POLIMI revision changes and form of R&D result description added in Appendix


FhG IPA CECIMO

4.1 including revision changes by CECIMO and INESC FINAL VERSION

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any liability for loss or damage to a third party arising from such use.

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Copyright EXPLORE Consortium 2015 (www.explore-fp7.eu). All rights reserved.

http://www.explore-fp7.eu/


Table of contents

Executive Summary ............................................................................................................................................ 4

1. Introduction ................................................................................................................................................ 6

1.1. Purpose ............................................................................................................................................... 6

1.2. Structure of Content ........................................................................................................................... 6

2. EXPLORE Project ......................................................................................................................................... 8

2.1. Main objectives and expected results ................................................................................................ 8

2.2. The project concept ............................................................................................................................ 8

3. Standardization in the production technologies environment ................................................................ 11

3.1. Types of standards and their effects on innovation & exploitation ................................................. 11

3.2. Function of standards combined with IPR ........................................................................................ 14

3.3. Status quo of standardization within machine tool sector as a use case......................................... 15

4. EXPLORE Analysis on the role of standardization, opportunities and proposals ..................................... 17

4.1. EXPLORE analysis approach .............................................................................................................. 17

4.2. Source 1: Report of questionnaire/ expert interviews ..................................................................... 18

4.3. Source 2: Report of workshop in Porto ............................................................................................ 22

4.4. Source 3: Report of other sources collected .................................................................................... 26

4.4.1. CEN Conference “Standards – Your innovation bridge” ........................................................... 26

4.4.2. Further thoughts of the EXPLORE team concerning Standardization applied in the field of

exploitation ............................................................................................................................................... 27

4.5 Proposal of a template for specifying the exploitable R&D result ..................................................... 30

5. EXPLORE conclusions and findings based on the analysis report ............................................................ 32

5.1. Summary of the actual role of standardization ................................................................................ 32

5.2. Conclusions and summary of the future role of standardization ..................................................... 33

References ........................................................................................................................................................ 35

Appendix 1: List of participants at the workshop on 17th of March................................................................ 36

Appendix 2: questionnaire part concerning standardization ........................................................................... 37

Appendix 3: Exploitable R&D result specification template............................................................................. 39


Executive Summary The overall goal of this deliverable is to report the actual and potential role of standardization in the

innovation and exploitation paths experienced by the European R&D projects.

After gathering information to specify the motivation for running a standardization process and

understanding the manifold usefulness of standards, the EXPLORE team used several sources, in order to

define the present and the future role of standardization:

A questionnaire was addressed to project coordinators or members of specific EU-projects;

Experts were interviewed to collect their opinion and experience concerning the general innovation

path in combination with standardization. The questionnaire was used to guide these interviews;

An EXPLORE-internal workshop was done to find improvements concerning the role of standards;

Additional sources like standardization conferences and relevant literature were identified and

analysed.

The analysis indicates that concerning the innovation & exploitation path related to collaborative EU-projects,

currently a wide range of standards are used. These standards help to access the state of the art by relying

on publicly accepted and clearly described standards. Instead there is evidence that, the chances of creating

new standards, beyond the ones already existing, are underestimated within the collaborative EU projects.

Currently only one-fourth of the EU projects are contributing to new or improved standards. More than a half

of the consortia did not consider relevant standards during the preparation of the proposal.

Several sources claim that standards play an important role in the field of research and innovation. In the

prescriptions of Horizon 2020 it is evident that standardization is identified as one of the innovation-support

measures that helps filling the gap between research and the market, and facilitates a faster and easier

adoption of research results by the European and international market. The following points summarize the

potential role of standardization in the exploitation of R&D results:

allow for a broad applicability of R&D project results;

increase the efficiency of research and development work;

facilitate business interaction;

allow companies to comply with relevant laws and regulations;

speed up the introduction of innovative products to market;

provide interoperability between new and existing products, services and processes.

In relation with the innovation & exploitation path in the scope of collaborative R&D EU-projects, a wide

range of standards are used. This is supported by the analyses of EU projects done by EXPLORE via a

questionnaire and as well the examples of projects given at the CEN Conference “Standards – Your innovation

bridge”.

On the other hand, EXPLORE also developed a template aimed to describe the R&D results, especially suitable

for communicating its potential for exploitation and technology transfer that can be easily understood by

non-specialists. Such a template is a proposal of a standard format that the owners of R&D results can use to

describe their technologies, including online Platforms. This format proved to be effective for advertising

R&D results in view of promoting further exploitation opportunities in the field of Production Technologies.


Considering the future role of standardization, concrete recommendations for improvement were identified

by the relevant actors. These improvements cover new possibilities:

Policy makers should create a better environment for standardization;

Users and owners of R&D results should better use and exploit the option of “standardization”;

Project coordinators should incorporate relevant standardization tasks in all phases of the project;

Owners of R&D results should use standardized forms to describe their technologies.


1. Introduction

1.1. Purpose

The adoption of standards can influence the exploitation potential and impact of R&D project results.

Whereas, in some cases there may be too many standards available which are not adopted or, on the

contrary, standards are scarce, thus limiting the innovation path. Task 5.1 of the EXPLORE project focused on

analyzing the actual and potential role of standardization in the innovation and exploitation paths

experienced by the European projects studied as part of EXPLORE. The analyzed cases were classified and

clustered. Patterns were observed in order to identify best/new practices that will make it possible to pursue

or encourage/facilitate the adoption of standards and contribution to standards within future projects. This

deliverable reports the activities and the content of these main opportunities for standardization and related

proposals.

1.2. Structure of Content

Figure 1 – Structure of deliverable content


Figure 1 shows the content and the logical structure of this deliverable. This document starts with the

Executive Summary that presents to the reader a summary of the main findings and conclusions. Chapter 1

gives a short introduction about the purpose of the deliverable and offers an overview on the document

structure. Chapter 2 describes the specific environment of the EXPLORE project, giving insights of the main

objectives and results as well as the project concept and approach.

Chapter 3 introduces the term “Standardization” and explains the meaning in the field of production

technologies. Subchapter 3.1 contains an overview on the different types of standards and explains their

effects on innovation and exploitation. Subchapter 3.2 focuses on the function of standards in research and

especially on the important relationship with intellectual property rights (IPR). Subchapter 3.3 describes the

status quo of standardization within the machine tool sector as an exemplary use case.

Chapter 4 continues with the EXPLORE analysis report on the role of standardization, opportunities and

proposals, beginning with subchapter 4.1, where the special EXPLORE approach is explained. The following

three subchapters introduce the sources used to gather information concerning use cases of standardization:

Subchapter 4.2 explains the questionnaire used by the EXPLORE team to analyze EU projects as well

as more direct questions targeting improvements and recommendations to a better use of

standardization. The questionnaire was as well used as an interview guideline, so the report shows

the results of the online-questionnaire as well as the answers of the interviews conducted with

selected experts.

Subchapter 4.3 reports the EXPLORE internal Workshop on 17th of March, where the team members

of EXPLORE identified relevant information of how to better use Standardization in the field of EU-

related R&D projects.

Subchapter 4.4 summarizes other sources used for the analysis.

Subchapter 4.5 introduces a new template to describe exploitable R&D results, which was developed by the

EXPLORE team.

Chapter 5 shows the new conclusions and findings based on the EXPLORE analysis reported in chapter 4,

containing the actual and the potential future role of standardization in the given context.


2. EXPLORE Project EXPLORE aims at unleashing the full potential of the knowledge accumulated in EU funded R&D projects in

the domain of Production Technologies. The project promotes and supports the industrial exploitation of

R&D results, mainly by disseminating (models, case studies and demonstrators) and preparing its commercial

exploitation, promoting cross-fertilization, stimulating education and fostering standardization. The goal is to

promote the use of this knowledge and specific R&D results to develop advanced products and services to

address manufacturing industries' challenges and needs. The test-bed is settled in 16 regions across Europe,

involving 11 industrial sectors.

2.1. Main objectives and expected results EXPLORE’s main objectives are the following:

• Disseminate the knowledge, results and existing applications of European R&D projects

• Develop a conceptual framework and ICT platform able to promote and support further industrial

exploitation of existing results from European R&D projects

• Test and demonstrate this framework using a selected group of at least 10 industrial sectors and 10

European regions

• Promote cross-fertilization, training and standardization

• Support the creation of an European network of demonstrators and pilot lines

• Generate recommendations for future projects and activities

EXPLORE’s main expected results are:

• Creation of an Innovation and Exploitation Platform

• Development of an Handbook to support exploitation of R&D results

• Identification of new exploitation opportunities

• Identification of existing demonstrators and pilot lines, and development of a roadmap for

implementing new ones (concept for an European Network of Demonstrators and Pilot Lines)

• Identification of the main barriers and recommendations for innovation and exploitation

• Identification of unmatched sectorial innovation challenges, and corresponding roadmap

• Gap analysis and recommendations in standardization opportunities, education, and training

2.2. The project concept The starting point of EXPLORE are the results from European R&D Projects in the field of production

technologies, with potential to be exploited in the industrial market. The link to selected European Regions

and Industrial Sectors, and their relation with relevant technological domains, allows the project to

understand the potential of R&D results in industry and to select the most promising. This is achieved through

matchmaking (including events distributed throughout Europe), in order to identify opportunities for further

exploitation as well as to implement new demonstrators and pilot installations based on such results,

promoting their visibility.


In parallel, EXPLORE develops an Innovation and Exploitation Framework that defines the project conceptual

and methodological approach, aiming to support the whole process of identification and selection of results,

matchmaking, and decision-making. A complementary tool is the Exploitation Handbook, providing guidance

in relevant matters related with the exploitation of new production technologies. It includes methodologies

and tools related with Open Innovation, templates, examples and best practices for research results

exploitation and cross fertilization. This Exploitation Handbook ultimately aims to support the stakeholder’s

activities in such exploitation process.

The main idea behind EXPLORE is the horizontal character of production technologies, which can be derived

from a certain R&D result. These technologies can in fact be applied to several different industrial sectors,

and can also be taken from one original sector to be applied in a different one, as the Figure 2 below shows.

Figure 2 - production technologies: a value chain pyramid

The next figure represents the EXPLORE Ecosystem for Production Technologies Innovation, composed by

the following set of elements:

Figure 3 - EXPLORE Ecosystem


The EXPLORE community is the heart of the ecosystem as it builds on its members common goals, knowledge

sharing and social capital. It is composed by the typical actors of an innovation ecosystem – industrial

companies, technology based companies, research and development organizations and the public system -

and the relationships between them together with material, financial, knowledge and social exchanges. As

any innovation ecosystem, it should foster a balance between the research and development subsystem and

the users/market subsystem. The EXPLORE ecosystem adds the end-users of production technologies to the

community, as a fundamental actor for the uptake of those technologies and for closing the loop of the

research subsystem in terms of new problems leading to new research and innovation needs. The EXPLORE

community is supported by the EXPLORE Portal that gives access to the three main instruments that it uses

for achieving its goals: the innovation and exploitation platform, the exploitation handbook and the

education and training programs.

The EXPLORE portal, represents the part of the Platform, aiming at the management of the EXPLORE

consortium and project activities, including the communication and networking mechanisms, together with

information exchange, dissemination and management.

The EXPLORE Innovation and Exploitation Platform is an intelligent information management system that

goes beyond a simple database of available production technologies, towards a decision support system for

potential exploitation paths detection and matchmaking.

The EXPLORE Exploitation Handbook, a component inside the Platform, provides guidance in relevant

matters related with the exploitation of new production technologies. It includes methodologies and tools

related with Open Innovation, templates, examples and best practices for research results exploitation and

cross fertilization, among others.

The EXPLORE education and training programs, is another component supported by the Platform, aimed at

improving the knowledge and skills of the actors involved in any kind of exploitation activity in the

community. These programs complement the EXPLORE Exploitation Handbook, paving the way for

stakeholders understanding and autonomy.


3. Standardization in the production technologies environment Standards are all around us, even if we are not always aware of them. On an individual level people are also

setting standards on i.e. how they prepare meals, how they communicate with each other etc. However,

when it comes to making the standard official, the best way is to follow a definition that recognises it as a

“document, established by consensus and approved by a recognized body, that provides, for common and

repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of

the optimum degree of order in a given context” [1].

3.1. Types of standards and their effects on innovation & exploitation

Standards are developed and ratified on various levels:

national national standardization organizations (i.e. DIN - Deutsches Institut für Normung, NEN -

Nederlands Normalisatie-instituut, PKN – Polski Komitet Normalizacyjny, ANFOR - Association

Française de Normalisation, etc.);

European European Standard Organizations (ESOs): the European Committee for

Standardization (CEN), the European Committee for Electro technical Standardization (CENELEC)

and the European Telecommunications Standards Institute (ETSI);

international International Standards Organization (ISO), the International Electro technical

Commission (IEC) and International Telecommunication Union (ITU).

European standardisation distinguishes a few types of publications:

European Standard (EN) - standard adopted by CEN/CENELEC and carrying with it an obligation of

implementation as an identical national standard and withdrawal of conflicting national standards;

Technical Specification (TS) - document adopted by CEN/CENELEC that allows future possibility of

agreement on a European Standard;

Technical Report (TR) - document adopted by CEN/CENELEC containing informative material not

suitable to be published as a European Standard or a Technical Specification;

Guides - document published by CEN or CENELEC giving rules, orientation, advice or

recommendations relating to European standardization;

Workshop Agreement (CWA) - CEN/CENELEC agreement, developed by a Workshop, which reflects

the consensus of identified individuals and organisations participating to this Workshop.

Standards are voluntary which means that there is no obligation to apply them. However, laws and

regulations may refer to standards and even make compliance with them compulsory. Sometimes it happens

also that the European Commission requests ESOs to develop and adopt European Standards (ENs) by means

of so called ‘standardisation mandates’. ENs developed in such way are called ‘Harmonised Standards’.


It is also necessary to underline that as much as possible both European and international standardizations

bodies are working in a close cooperation as the goal is to have whenever possible, identical European and

international standards. The numbers1 speak for themselves and present the following relation:

CEN portfolio to ISO: CENELEC portfolio to IEC:

o 31% is identical o 69% is based on ISO publications

o 72% of CENELEC is identical o 6% is based on ISO publications o 22% has no relation to IEC publications

Figure 4: International cooperation between standardization bodies

Since the definition of a standard above is very open to all kinds of possibilities, this chapter at first follows

up with an introduction of general forms of standards in the field of production technologies, in order to

generate a better understanding. Thereafter the effect of standards on innovation will be discussed;

especially their positive and negative impact is explained. This chapter concludes with derived intentions or

goals for certain stakeholders to create standards. It can be used as a checklist to evaluate certain needs or

potentials enabled by standardization.

General forms of standards in coherence with production technologies can be interpreted in different ways.

The following 3 forms of standards can be classified:

Social standards concerning safety and working conditions, as well as educational standards

concerning the knowledge of an employee in an industrial environment;

Standard methodologies to manage production e.g. quality management standards or Lean

management standards such as value stream mapping;

Technical and mechanical standards including IT standards as well as technical processes to e.g.

measure certain characteristics.

Considering standards and their effect on innovation, recent studies and reports can be taken into account.

Following these studies, standardization has not yet been used in a comprehensive sense as an effective and

efficient technology transfer channel [Blind 2013]. Quoting the sources, a large potential for standards and

standardization is expected to promote innovation. While focusing on the exploitation of results of

collaborative research at European level, the two main stakeholders industry and research seem to

underestimate the potential of using standards. The reason for this may be limited incentives for joining a

standardization process as well as the time needed to walk through a standardization process and this may

cause a delay in the transfer process.

1 Numbers presented at the CEN/CENELEC StandarDays 21-22 April 2015


On the other hand standards are able to play a key role in innovation both for industries and academia where

a network effect prevails. A standard may contain important technological information that can serve as a

basis for further innovation. The key role of standardization as a bridge between research, innovation and

markets has been recognized in recent political initiatives by all of the EU institutions [2].

The next figure shows the types of standards characterized by their intention. Furthermore, their positive

and negative effects on innovation are shown [3][4].

Positive effects on innovation Negative effects on innovation

Compatibility/

Interoperability

Network externalities

Avoiding lock-in old technologies

Increasing variety of system products

Efficiency in supply chains

Monopoly power

Lock in old technologies in case

of strong network externalities

Minimum Quality/

Safety

Avoiding adverse selection

Creating trust

Reducing transaction costs

Raising rival’s costs

Variety reduction Economies of scale

Critical mass in emerging technologies and industries

Reducing choice

Market concentration

Premature selection of technologies

Information Providing codified knowledge

Figure 5: Types of standards and their effects on innovation (Blind 2004 based on Swann 2000)

Standards are able to lever compatibility and interoperability. They might as well ensure or improve quality

and safety by describing their criteria for reaching a defined standard. Variety reduction is another type of

standard as well as the information meaning to codify knowledge and make it publicly usable.

The following positive effects of standardization can be summarized:

Standards for measurements and tests help innovative companies to demonstrate to the customer

that their innovative products possess the features they claim to have, but also acceptable levels of

risks for health, safety and the environment;

Standards codify and diffuse the state of the art in science, technology and best practice. This can

effectively be used as a marketing strategy to provide knowledge to the target group;

Open standardization processes and standards enable a competition between and within

technologies and contribute therefore to innovation-led growth;


Standards reduce the transaction costs and facilitate trade, especially of complex products and

across borders;

Standards can be used as basis for subsequent generations of innovation. Standards themselves can

serve as framework conditions for the next generation of research. This is especially the case for

terminology and classification standards in the area of basic research;

By limiting the variety of all available options standards help to focus on specific technologies and

consequently promote the development of critical masses, which increases the credibility especially

in new technologies attracting further investments and the development of complementary

technologies;

When technologies have been established, standards allow the exploitation of economies of scale,

which generates profit and allows to reinvest profit in further innovation;

Innovative technologies and products contain often a higher level of risk for health, safety and the

environment, which endanger their acceptance among private and commercial users, but also policy

makers. Thus, standards can provide a contribution to the trust in innovative technologies and

products by reducing the various types of risks both for the users, but also for society;

Standards are not only contributing to lock-ins into old technologies becoming inferior over time, but

can also be shaped to avoid these lock-ins, e.g. by designing appropriate interfaces between old

and new technologies allowing their simultaneous use or ensuring their compatibility;

Standards can be seen as a knowledge and technology transfer channel for knowledge integrated

within a consensus process. The selection and prioritization of knowledge and technologies leads to

the bundling of resources and avoids fragmentation. In addition, this is accessible for all actors in

industry, research institutes, the public sector and society;

Compatibility standards can promote the diffusion of technologies and products especially in

network industries [2].

3.2. Function of standards combined with IPR Since standards are accessible to everyone and IPR, especially patents, are mostly hidden to the public, at

first sight there seems to be a substantial conflict. According to Blind (2013) the integration of IPR into

standards generates challenges, nevertheless, also a series of benefits can be identified both for the owner

of a new product or technology and for those interested in implementing these standards.

We will first take a look at the benefits:

Rights holders are enabled to leverage their temporary monopoly generated by their IPR via their

integration or compliance with standards;

Technologies, products and services are often based on platform standards, which are often open

and IPR free. This creates incentives to generate proprietary technologies and products. In contrast

to the mostly incontestable market position of companies owning proprietary standards via IPR,

there is in general still a competition between the various complementary technologies and products;

Another approach to combine patents with standards is the pooling of an amount of patents to one

standard. Positive effects are: reduced transaction costs for the rights owner and additional licensing

revenues due to the diffusion of standards. Pool patents reduce licensing costs for the standard

implementers.


On the other hand we are facing the following challenges:

A downside of a certain technology being an IPR and a standard at the same time is the cementation

of a temporary into a permanent monopoly. This restricts competition and innovation, because the

technology becomes incontestable;

A combination of IPR and standard based network externalities may lead to monopolies lasting longer

than the duration of a patent protection, causing inefficiencies like higher prices and a market

structure with a low level of innovation. Since this is a very strong incentive, fierce standard wars may

occur with wasting of resources;

Possible conflicts between the two institutions. An implementation of a standard could lead to an

unintended infringement of IPR not known to be part of a standard.

A combination of standardization and IPR is an additional option to exploit innovation and might come into

consideration, if the explained benefits exceed the given challenges.

3.3. Status quo of standardization within machine tool sector as a use case The machine tool sector is a supplier of high technology manufacturing equipment and products to the

European and international manufacturing industries, including automotive, aerospace, ship building, power

generation, capital goods, medical goods and general engineering. Machine tools are highly customized

products, tailored to the customers’ needs.

Machine tools are complex systems dedicated for industrial use in manufacturing and assembly plants, and

the user behavior plays a major role in their energy consumption. They produce parts and equipment used

in other sectors so, in most cases, their products are not only end products but also key elements in consumer

goods. In order to remain competitive, they become more complex and offer more functionality which

increases the number of factors impacting the energy use. The machine tool manufacturers also have to keep

up with their customers’ productivity, accuracy and reliability requirements and also meet increasing energy

efficiency demands.

To embrace all that machine tool sector, CECIMO (the respective European sectoral association) is committed

to create a leveled playing field, thus it is actively contributing to the standardization works both on the

European and international level. Our activities concern the following issues: safety (CEN TC 143), energy

efficiency (ISO TC 39) and additive manufacturing (ASTM committee F42 and related joint committee on

ISO/TC 261 as well as newly established CEN TC438).

We can distinguish a number of technical standards that are not only used as tools to prove compliance with

appropriate legislation but also to establish uniform engineering technical criteria, methods and practices.

Industry is strongly encouraged to adopt standards as it allows companies to operate within a

defined/standardized environment.

From the variety of existing standards the machine tool industry does not only follow those specifically

devoted to the sector but also apply standards that are related to quality management systems (ISO 9000

series) and environmental management systems (ISO 14000 series). Besides that there are also standards

applicable to more specific issues like: noise emitted or lubricants to be used.

Figure 6 provides a non-exhaustive summary of standards applicable to machine tools taking into account

environmental issues.


Issue Standard Title

Management systems

ISO 9000 series Quality management systems

ISO 14000 series Environmental management systems

Noise ISO 11204:2010 Acoustics - Noise emitted by machinery and equipment - Determination of emission sound pressure levels at a work station and at other specified positions applying accurate environmental correction

ISO 230-5:2000 Test code for machine tools - Part 5: Determination of the noise emission

ISO 8525:2008 Airborne noise emitted by machine tools - Operating conditions for metal-cutting machines

Lubrication ISO 19378:2003 Lubricants, industrial oils and related products (class L) – Machine tool lubricants - Categories and specifications

ISO 5170:1977 Machine tools - Lubrication systems

Safety ISO 12100:2010 Safety of machinery - General principles for design - Risk assessment and risk reduction

ISO 14118:2000 Safety of machinery - Prevention of unexpected start-up

Figure 6: standards applicable to machine tools

In addition to the above, the machine tool sector is following and contributing to development of standards

in relation to the environmental evaluation of machine tools which refers to the energy efficiency aspect that

resulted from including machine tools under the Eco design Directive (2009/125/EC). Our sector sees eco-

design as a strategic issue which affects its long-term sustainability and competitiveness.

The work on this aspect has started on the ISO level in December 2009 and it is handled by ISO TC 39 on

Machine Tools. Development of ISO 14955 series entitled ‘Environmental evaluation of machine tools ‘ has

been motivated by Self-Regulatory Measure put forward by CECIMO who decided to propose to the European

Commission an alternative solution to so called implementing measures arising from the Eco design Directive.

ISO 14955 series is composed of the following:

Part 1: Design methodology for energy-efficient machine tools

Part 2: Methods for measuring energy supplied to machine tools

Part 3: Principles for testing metal-cutting machine tools

Part 4: Principles for testing metal-forming machine tools

Part 5: Wood-working machine tools

So far Part 1 has been published in March 2014, while the others are still under development.

In addition to that, CECIMO is looking into new domains like additive manufacturing and is engaging in this

field with a purpose of contributing to the development of standards for metal materials. CECIMO got

involved into ASTM Committee F42 that has a cooperative agreement signed on the topic with ISO TC 261.

The organization will also follow activities of newly created CEN TC438 on Additive Manufacturing.


4. EXPLORE Analysis on the role of standardization, opportunities and

proposals

4.1. EXPLORE analysis approach In order to achieve the goal of determining the current and future role of standardization on the successful

exploitation of results of EU funded R&D projects, the EXPLORE team decided to use different sources of

information for analysis.

As a first source of information, the EXPLORE team elaborated a questionnaire to be addressed to the owners

or representative of the R&D results collected in WP3. In this context, it was important to gather insights

regarding the life-cycle of an EU-project in order to learn from the experience made by the coordinators and

partners involved in these projects.

These insights focus standardization opportunities concerning single technologies, which were invented,

developed, improved or applied in new fields during an EU-project. On the other hand a second interesting

field of standardization can be analyzed: the whole innovation and (as a part of it) exploitation path as a

procedure to create innovation by running collaborative EU-funded research projects. This “process-like”

view was also considered to be very important, therefore the EXPLORE team decided to incorporate

questions aiming at the different phases, a consortium is walking through within the R&D project life-cycle

(The process is presented in detail in section 4.2):

As a second source, it was considered the long experience of many of the EXPLORE team members in setting

up European collaborative research projects and planning the exploitation of its results. To this end, it was

decided to conduct an EXPLORE internal workshop to collect all the knowledge and ideas to improve the

exploitation process in relation with standardization.

Before running the questionnaire and the internal workshop, an investigation was made on the available

publications concerning standardization and its relation with innovation. The most important findings and

concepts found in these sources were described and condensed in chapter 3 of this report.

Additionally other sources were identified. In particular, the organizations CEN and CENELEC held a

conference in October 2014, targeting on standards as a “bridge of innovation”, see further details on

chapter 4.4. While investigating and at the same time processing the questionnaire and the workshop,


additional ideas of using standardization were identified, especially on improving the process of exploitation

itself. These recommendations are covered as well in chapter 4.4 and 4.5.

From an organizational point of view, the EXPLORE team decided to allocate the date of the workshop right

in the middle of the period, when the questionnaire was run. So, the first answers and contributions from

the questionnaire could be discussed and evaluated.

In addition to this, it is important to know that right at the beginning, a strong link was identified between

the task 5.1 (targeting on standardization improvements) and all other tasks in WP5 targeting general barriers

and recommendations of innovation & exploitation, educational needs and unmatched innovation

challenges. Therefore the task leaders decided to join their specific topics and design a single questionnaire

to address all the topics of WP5. The same approach was followed with the workshop, as it covered all the

relevant topics of WP5 tasks.

4.2. Source 1: Report of questionnaire/ expert interviews As mentioned in the previous chapter, the questionnaire aimed to gather the experience of EU R&D projects

on the role of standardization for a successful innovation and exploitation path. As a consequence, the

questionnaire was targeted not only to coordinators, team members of EU-projects and owners of R&D

results, but also to relevant experts in the field.

The questionnaire was made available online, integrated with the EXPLORE innovation and exploitation

platform [5]. This allowed an easier integration with the information related with the EU projects analyzed

by EXPLORE and allowed to increase the traffic on the platform itself. The EXPLORE questionnaire was

answered by 28 persons from research and industry communities. As a complement, the questions were also

used as a basis for one-on-one meetings (or interviews) with experts. The part of the questionnaire

concerning the standardization is documented in Appendix 2.

Facts concerning participation – “Who answered the questionnaire?”

28 persons in total contributed to the questionnaire.

22 persons answered in the scope of specific EU-projects.

21 persons work for a research type organization.

7 persons are stakeholders from industry.

Report on answers concerning project related questions

The following charts report selected statistics based on the given answers. In order to identify the role of

standardization during the different phases of the innovation and exploitation path (see Figure 1), a first

question was defined to ask for relevant standards, which have been checked during the project design phase

during the preparation of the proposal, following with the same question in relation to the project execution

phase. Figure 7 shows the results.

A first interpretation can be derived. It seems standardization is playing a major role during the project

execution phase, since more than 4 out of 5 projects are dealing with standardization themes. On the other

side only 1 of 2 projects identified the need to check thoroughly current standards prior to the project start.


Figure 7: Role of standardization during different phases of EU R&D projects

A further question asked which specific standards were considered in the respective phases. Many of the

answers referred to process standards, measurement standards as well as product standards and technology

specific models. There were no remarkable differences concerning the standards used before and during the

project. The answers lead to the conclusion, that before and during the project, standards are considered as

a good source to capture the state of the art and as a part of the analysis phase to gather information and to

refer to reliable and publicly accepted content.

In order to determine the level of implementation concerning new standards created by the consortium, 3

questions have been elaborated. The following levels were identified:

Level 0: total number of projects (independently of the relation with standards);

Level 1: amount of projects, which created R&D results capable of being standardized;

Level 2: (parts of) of the consortium decided to run a standardization process;

Level 3: the standardization process was successful.


Figure 8: Levels of implementation concerning new standards

Figure 8 shows the result on the next page. 41 % of the projects produced R&D results were considered to

be capable of being standardized. In more than a half of the cases the respective partners decided to initiate

a standardization process, when two thirds of them succeeded to finalize by creating a new standard. If we

consider the answers of the questionnaire regarding the reasons, why a technology is not capable of being

standardized, following types of answers can be recognized:

Some of the results did not reach a sufficient TRL-Level;

Since the innovation was the result, there was no willingness to standardize;

There were no standards identified that could support the R&D result.

If we step forward to a deeper level, the questionnaire asked for the reasons not running a process of

standardization. There were insufficient answers. Most of the participants did not provide an answer, some

just briefly remarked, there was no willingness to do so.

Concerning the reasons for not being successful yet with a creation of a new standard, one half of the

participants mentioned the process is still running, the other half reported the process was stopped.

In addition to a standardization process, the participants were asked, if the consortium applied for a patent.

Following figure shows the result.


Figure 9: Patent implementation rate

According to Blind [2004], investigations confirmed, that the higher the patent intensities of companies, the

lower their tendency to join standardization processes, as they do not need the support of standards to

market their products successfully. The questionnaire answers confirm this statement. There was no project,

where both standardization and patent processes were initiated.

Report on answers concerning the general process of innovation and exploitation

The questionnaire asked for concrete actions and proposed improvements concerning standardization. The

following direct quotes were given by the participants:

Create calls for standardization as a post-project activity;

Creation and usage of Roadmaps concerning IT standardization which are specific to certain

technologies;

Elaborate guidelines for standard commercialization path;

Source of technology must evaluate the potential users and their benefit when applying the

technology;

Analyze compatibility with existing standards;

According to the standardization body that the proposal will be submitted to, different procedures

are necessary. E.g. a national committee must be approached first for submissions in IEC;

To produce a "library" of available standards (with filters and advanced search, for ease of use)

Use of Innovation Management Models (TIM, RAINOVA, ...) within institutions/companies;

It needs to be a task in every phase (from design, through execution to exploitation) to justify ongoing

efforts by potential benefit;

Need of an early contact with standardization bodies/responsible organization for technical

committees, in order to work together in standards related issues;

The exploitation paths should rely on standardization activities. The extension of existing standard

could be proposed.


4.3. Source 2: Report of workshop in Porto In order to collect the experience and improvement ideas of the EXPLORE team members, a workshop was

held in Porto on 17th of March 2015. A list of participants can be found in Appendix 1.

Since the scope was to cover not only standardization improvements but also all the other tasks of

Workpackage 5, the following goals were defined in advance:

Identify barriers/deadlocks and gaps of the current innovation and exploitation process;

Elaborate recommendations, standardization opportunities as well as education & training needs;

Evaluate improvements.

In order to achieve these goals, the following agenda was elaborated:

1. Introduction: Goal and procedure of the workshop

2. Barriers / Deadlocks / Gaps

i. Initial look on questionnaire answers

ii. Collect additional ideas of barriers, deadlocks and gaps asking: “What barriers,

deadlocks and gaps do you identify in the current innovation & exploitation process

in EU programs & R&D projects?”

iii. Discuss the ideas

1. Recommendations/Standardization opportunities/ Education & Training needs

i. “What recommendations can you propose to improve the innovation &

exploitation process”

ii. Discuss the recommendations / identify connected barriers / evaluate

recommendation by positioning in the matrix

Figure 10 shows all the contributions for the identification of barriers, deadlocks and gaps.


Figure 10: Barriers, deadlocks and gaps, identified at the workshop


Concerning standardization, 3 answers were identified:

“Length of standardization process may go beyond the duration of a project”

“The opportunities of standardization are underestimated in industry as well as in research“

“Project proposal does not consider a WP that contribute to standardization works“

Taking these contributions as a basis, the workshop participants derived and added recommendations for

improving the innovation & exploitation path. In order to allocate the answers to the different topics,

different colors were used: general barriers in green, barriers allocated to standardization in orange and

educational/training needs in pink. Figure 11 shows all the identified improvements incorporated in a

diagram which evaluates at the same time the expected impact and the needed effort to execute.

The following recommendations for improvement were identified:

“Standardization opportunities should be well investigated before writing project proposals“

“Industrial partners should suggest relevant standardization topics as part of the project proposal“

“Develop individual standardization roadmaps for specific technologies e.g. manufacturing IT“

“More research and funding possibilities for the definition of standards, especially for process

standards“

“Measurement standards should be better standardized in general”

“Better exploit how to apply standardization to increase market shares“


Figure 11: Evaluated recommendations for improvement


4.4. Source 3: Report of other sources collected This chapter describes 2 further sources for the analysis which were also used for the concluding statements

described in chapter 5.

4.4.1. CEN Conference “Standards – Your innovation bridge”

EXPLORE project was present at the conference and accompanying exhibition organized by CEN and CENELEC

under the title ‘Standards – Your Innovation Bridge’.

The event took place on 30th October 2014 and facilitated contacts with many EU-funded projects that have

been successful in contributing to the standardization process. The table below presents some selected

examples.

Project Description Input to standardization work

ACOUTRAIN Virtual certification of acoustic performance for freight and passenger trains www.acoutrain.eu

A 3-year FP7 research project, aimed to develop procedures and calculation tools to simplify the present Noise Technical Specification for Interoperability (TSI) test procedures.

EN 15610 ”Railway applications – Noise emission – Rail roughness measurement related to rolling noise generation”

STACAST New Quality and Design Standards for Aluminium Alloys Cast Products www.stacast-project.org

StaCast aimed to promote the

transformation of potential of

aluminium alloys industry in a

quality/efficiency-driven and

integration-oriented sector, by

the development and

introduction of two new and

advanced standards, covering

aspects which are not

approached in current norms

TR 16748 Aluminium and aluminium alloys –

Mechanical potential of Al-Si alloys for high

pressure, low pressure and gravity die casting

TR 16749 Aluminium and aluminium alloys –

Classification of defects and imperfections in

high pressure, low pressure and gravity die cast

products

EASYBAT Models and generic interfaces for easy and safe battery insertion and removal in electric vehicles www.easybat.eu

The mission of the EASYBAT was to provide a scalable solution for swap batteries smart integration in Electric Vehicles (EVs)

CWA 16688: 2013 battery swap systems interfaces for electric vehicles

2NDVEGOIL 2nd Generation Vegetable Oil www.2ndvegoil.eu

Focused on the research, development and demonstration of a ‘second generation’ of vegetable oil-based fuels for use in advanced engines. The project built up on the former

CWA 16379: 2011 Fuels and biofuels – Pure plant oil fuel for diesel engine concepts – Requirements and test methods

http://www.acoutrain.eu/

http://www.stacast-project.org/

http://www.stacast-project.org/

http://www.easybat.eu/

http://www.2ndvegoil.eu/


Project Description Input to standardization work

developments and aimed to prepare engines to comply with the upcoming exhaust regulations (EU stage 4 for off-road vehicles respectively EURO 6 for road vehicles).

QUIESST QUIetening the Environment for a Sustainable Surface Transport www.quiesst.eu

The project addressed surface transport noise abatement (road and rail), considered cost benefit analysis and covered true holistic noise abatement solutions through wave propagation and systems for passive compensation.

EN 1793-6: 2012 Road traffic noise reduction devices – Test method for determining the acoustic performance – Part 6: Intrinsic characteristic – In situ values of airborne sound insulation under direct sound filed conditions EN 16272-6: 2014 Railway applications – Track – Noise barriers and related devices acting on airborne sound propagation – Test method for determining the acoustic performance – Part 6: Intrinsic characteristic – In situ values of airborne sound

SMART-CM Smart Container Chain Management www.smart-cm.eu

Development of technological solutions for achieving improved security, monitoring and management of global container transport chains.

CWA 16505: 2012 Container security and tracking devices – technical specifications and communication standards

AEROTRAIN Aerodynamics total regulatory acceptance for the interoperable network

Promotion of an interoperable rail traffic in Europe by reducing costs and time of certification and closing ‘open points’ in the Technical Specifications for Interoperability (TSI’s)

EN 14067-4: 2013 Railway applications – Aerodynamics – Part 4: requirements and test procedures foe aerodynamics on open track

4.4.2. Further thoughts of the EXPLORE team concerning Standardization applied in the field of exploitation

As an extension of the workshop results the team members of EXPLORE believe there are additional chances

to improve the process of exploitation using basic approaches of standardization. Taking into account there

is a potential to increase the efficiency and as well the quality of results, when a process is standardized, this

can be applied to some of the processes and actions in correlation with exploiting R&D results.

The following ideas are based on the focused experience of the EXPLORE team members on exploitation,

made before and during the project phases of EXPLORE:

There are many ways to exploit an R&D result, which might not have been thoroughly checked

prior, during or after a project. Therefore it is useful to work with a checklist of exploitation to

systematically consider well-known possibilities, see Figure 12.

http://www.quiesst.eu/


In order to widely promote R&D results, information should be publicly available on the web.

The owners of R&D results should use a platform (like EXPLORE, EFFRA Innovation Portal, or

others) to widely advertise R&D results and their owners, including its TRL-Level, to demonstrate

its characteristics and explain its benefits to potential future users.

In order to describe R&D results, the EXPLORE team created a standard form, which was

internally used to collect relevant information and can be used as a checklist to describe R&D

results thoroughly. This is described in the next section and the respective standardized form is

shown in Appendix 3.

In general, owners of R&D results should check for the following characteristics to increase the

chances for a transfer of technology:

o Relative advantage: the relative advantage of a new technology describes their e.g. technical

or economic advantages referring to the state of the art. A high relative advantage fosters

the technology transfer and adoption.

o Complexity: a high technical complexity influences the required competencies and

experiences while dealing with the technology to be transferred. A low complexity facilitates

the technology transfer.

o Compatibility: solutions which are easy to adapt to the already existing environment foster

the transfer. In contrast an intense effort to adapt technologies hampers the process of

transfer.

o Communicability: describes, how easy or complex it is to explain the benefits, the principle

of operation and the functionalities of the new technology. A simple communicability fosters

the technology transfer.

o Trialability: if there are good possibilities to test and demonstrate the new technology, then

uncertainties and risks can be reduced, which facilitates the transfer. To reach the goal of

persuasion of the potential acceptor of the transfer it is essential to offer trialability.

o Maturity level: A technology closer to market use is easier to transfer. A high maturity level fosters the transfer of technologies.

On a platform advertising R&D results, the indicators used within EXPLORE should be used to cluster

and easily find suitable results, e.g. region, target sectors, innovation domains etc. A standardized

search request would support a quick access to the desired technologies.

In a specific domain, there should be one central platform or single access point for all developed

technologies. This technology market place should be promoted to attract potential

partners/customers

It is essential to clarify standardization interests and standardization needs before elaborating an

R&D project proposal, especially the willingness to create a new standard. In order to encourage

partners to go for a standardization process, an appropriate funding after the project would be a

good alternative to the existing approach. A must-criterion of funding could be to address this

intention within the proposal.


Figure 12: general exploitation possibilities allocated to transfer stages [6]

CategoriesNetwork

Publication

New media

Event

Project-related performance

Qualification

Demonstration

Property rights

Others Att

en

tio

n a

nd

(fi

rst)

info

rmat

ion

(De

pth

) U

nd

ers

tan

din

g

(Pro

toty

pic

al)

Try

and

te

st

Use

, In

tegr

atio

n

Working groups, working circles Network x x

Article in scientific journals Publication x x

Article in newspapers Publication x

R&D of orders and consulting projects Project-related performance x x

Education and training Qualification x x

Exhibition Demonstration x x

Consulting and innovation vouchers Project-related performance x x x

Book publications, book contributions Publication x x

CD-Roms, DVDs New media x x

Database entries New media x

E-Learning New media x

Preparation of teaching material Qualification x x

Technical discussions and informative talks Network x x

Distance learning Qualification x

Flyers, information brochures Publication x

Handbooks Publication x

Interactive demonstration Demonstration x x

Websites New media x x

Conferences, meetings Event x x

Fair presentation Event x

Network meetings Network x x

Newsletter Publication x

Online discussion forums New media x x

Open space Event x

Patents, licenses, other property rights Property rights x x

Panel discussion Event x

Press conferences Event x

Press kit Publication x

press releases Publication x

Product and project flyers/brochure Publication x

project Reports Publication x x

Project Circulars Publication x

Project meetings Network x x

Lecture series Qualification x x

Road show Demonstration, Event x x

Seminars, workshops (self-organized) Event x x

Seminars, workshops (organized by others) Event x

Software (eg. Disseminated via Internet) Demonstration x x x

Spin-off, start-ups Others x x

Standardization Others x x

Student research, theses, dissertations Publication x x

Student research, theses, dissertations Project-related performance x x

Participation in committees and roundtables Network x x

Video (incl. spreading for example via Internet, Youtube etc) New media x x

On site presentation, factory tour Demonstration, Event x x

Course of lectures Qualification x x

Lectures Event x

Advertising spots New media x

… …

Transfer stages

Tran

sfe

r in

stru

me

nts


4.5 Proposal of a template for specifying the exploitable R&D result As part of one of EXPLORE’s stages (in WP3), the need was identified to specify and describe the exploitable

R&D results selected by the project. Since the materials and contents of each R&D result (and corresponding

project) were very diversified, it was necessary to standardize the output format.

This standard format for describing the R&D results was of great importance, especially because it allowed

the R&D results to be:

1. classified and structured;

2. uploaded in the Innovation and Exploitation Platform;

3. easily searched;

4. easily disseminated.

The template was designed to ensure that the exploitable results were described with the necessary level of

detail in the aspects relevant for their exploitation. The goal was to have the best possible homogeneity

between the different exploitable results, which derive from different sources. For this, the template

identifies the main fields of information to provide a clear indication of what is the result benefits, potential

and expected exploitation plans. The template design was naturally focused on the R&D results rather than

the corresponding projects.

This template filled in with an example of an R&D result is presented in Appendix 3.

The specification of the information necessary to describe an R&D result to enable a complete assessment of

its exploitation potential includes the following items:

Basic information o Name of R&D result o Main objective o Short Description o Owner of result o Responsible o Keywords

Innovation o Benefits for user o Innovation brief description (Main innovation and advantages in relation with the state of

the art) o Innovation evaluation

1 – Low innovation (merely reinforces existing competences) 2 – Little innovation (incremental innovation character) 3 – Considerable innovation (significant technological change) 4 – High innovation (radical / disruptive innovation character)

o Market evaluation 1 – Mature market 2 – Growth market 3 – Developing market 4 – New market

o Risks and limitations


o Innovation domain(s) (described in the templates appendixes) o Technology readiness Level (TRL) (described in the templates appendixes

Exploitation o Industrial sector(s) of application o Other potential sectors of application o Patent(s) / Licenses / Copyrights … o What is being searched?

(new applications, buyer, take-up, licensing, further development, …?)

Dissemination and demonstration o Dissemination activities of result o Dissemination at result level: scientific papers and conference presentations

(title, authors, publication/event, location, year) o Dissemination at project level: booklet, poster, international fairs, conferences, press

releases, press articles, website o Demonstration activities of result (including reference installations) o Photos and Videos o Other materials

Project o Project acronym o Project title o Project date start and date finish o Finished Project? (yes/no) o Project short description o Project website o Obs./other

Additionally to this information, that was considered public in the EXPLORE Innovation and Exploitation

Platform, the template already comprises information items (with restricted access), to be used during the

exploitation process, namely during the matchmaking and the negotiation. The Innovation and Exploitation

Platform supports these stages. More information can be found In Deliverable 2.3 “Innovation and

Exploitation Platform”.

The information identified as relevant for the matchmaking and negotiation phases is the following:

Result details (Reserved information to matchmaking) o Case studies and best practices using the results o IPR agreements o Business plans

In-depth (confidential information to contractual negotiation) o Terms and condition for joint exploitation

EXPLORE recommends that such a template should be applied as a standardized basis for describing R&D

results, when the ultimate goal is to promote their commercial exploitation. This format gave good results

and was improved during the EXPLORE project activities.


5. EXPLORE conclusions and findings based on the analysis report

This Chapter summarizes the findings from previous chapters and provides an overview on the current and

the potential future role of standardization in relation with the innovation and exploitation path.

5.1. Summary of the actual role of standardization

Several sources claim that standards play an important role in the field of research and innovation. In the

prescriptions of Horizon 2020 it is evident that standardization is identified as one of the innovation-support

measures that helps filling the gap between research and the market, and helping a faster and easier

adoption of research results by the European and international market. The following points summarize the

potential role of standardization in the exploitation of R&D results:

allow for a broad applicability of R&D project results;

increase the efficiency of research and development work;

facilitate business interaction;

allow companies to comply with relevant laws and regulations;

speed up the introduction of innovative products to market;

provide interoperability between new and existing products, services and processes.

In relation with the innovation and exploitation path in the scope of collaborative R&D EU-projects, a wide

range of standards are used. These standards help to elaborate the state of the art by relying on publicly

accepted and clearly described standards. This is supported by the analyses of EU projects done by EXPLORE

via a questionnaire and as well as the examples of projects given at the CEN Conference “Standards – Your

innovation bridge”.

The other important perspective is the contribution to new standards by collaborative EU projects. According

to the EXPLORE analysis, currently every fourth EU project is creating or contributing to standards.2

The ‘Study on the contribution of standardization to innovation in European funded research projects from

2013 [7] shows, that nearly three-quarters (73%) of FP6 and FP7 project coordinators who used or created

standards in their previous projects said that they would be willing to address standardization again.

Beside this high satisfaction the analysis of the EU projects in EXPLORE says, there is still a potential to use

or create standardization to improve the exploitation of R&D results. There is evidence on the analysis,

because on the one hand over the half of consortia did not check relevant standards during the preparation

of the proposal. On the other hand partners realized in 4 out of 5 projects the need to handle with

standardization topics during the execution phase. So it can be finally concluded, that currently the chances

of using standards are underestimated.

2 See figure 8: Levels of implementation concerning new standards, the second level of implementation refers to this statement


5.2. Conclusions and summary of the future role of standardization

To summarize all the sources and results of the analysis in a simple format, it is important to identify potential

improvements for each type of stakeholder involved in the exploitation process and the respective activities.

Therefore the allocations for each stakeholder type are made visible in the following mind maps, identifying

possible activities and the potential objectives.


These possible uses of standardization are able to change the current role of standardization and contribute

to improve the exploitation potential of the results of EU R&D projects. The analysis work conducted by

EXPLORE shows that it is in fact possible to use more often standards to enlarge the exploitation potential

and market value of EU project results.

Additionally, EXPLORE has developed a template to describe the R&D results that can be used and adapted

mainly by owners of these results to describe in detail their technologies and include them in online platforms

that can be understood by non-specialists. This way they can increase the potential of exploitation of their

technologies. Even considering such template as an initial approach to such standards, a uniform model for

describing the technologies deriving from European R&D projects could be foreseen in a near future.

Finally, the specific role of each stakeholder to maximize the exploitation of R&D results is shown in the

previous mind maps. If an advantageous environment can be created and if at the same time the benefits of

standardization are well-disseminated, then a stronger role of standardization will be observed as a macro-

economic movement to successfully lever innovation.


References

[1] ISO/IEC, 2004. Standardization and related activities -- General vocabulary. ISO: Geneva

http://www.innovation-policy.org.uk/compendium/reference/Default.aspx?referenceid=1610

[2] Blind, K.; TU Berlin, Rotterdam School of Management and Fraunhofer FOKUS; Nesta Working

Paper 13/15; November 2013; www.nesta.org.uk/wp13-15

[3] Blind, K., 2004. The Economics Of Standards: Theory, Evidence, Policy. Edward Elgar: Cheltenham.

http://www.innovation-policy.org.uk/compendium/reference/Default.aspx?referenceid=1466

[4] Swann G.M.P. , 2000. The Economics of Standardization: Final Report for Standards and Technical

Regulations Directorate Department of Trade and Industry. Manchester Business School:

Manchester . http://www.innovation-

policy.org.uk/compendium/reference/Default.aspx?referenceid=1525

[5] Platform EXPLORE, 2014. http://explore.explore-fp7.eu:9090/#/

[6] Warschat, J. 2013. Transfer von Forschungsergebnissen in die industrielle Praxis, Fraunhofer

Verlag Stuttgart

[7] http://www.cencenelec.eu/standards/Education/JointWorkingGroup/Documents/Study_Contrib

ution_Standardization_Innovation_Final2013.pdf


Appendix 1: List of participants at the workshop on 17th of March

NAME ORGANISATION

Ana Martín TECNALIA

Anna De Carolis FPM

Cecilia Maria Angioletti FPM

Chris Decubber AGORIA

Donatella Corti SUPSI

Giacomo Copani CNR-ITIA

Golboo Pourabdollahian CNR-ITIA

Jaroslaw Chrobot LSISP

Jyrki Latokartano TUT

Kamila Slupek CECIMO

Luís Carneiro INESC PORTO

Markus Niedermaier WRS

Michael Doukas LMS-UP

Michael Eisele Fraunhofer

Michel Carton CETIM

Pieter Bolt TNO

Vasco Teles INESC PORTO


Appendix 2: questionnaire part concerning standardization


Appendix 3: Exploitable R&D result specification template

1 – Result description (Public information to publicize)

Basic info

1. Name of R&D result

Solvent free Dry-blend application of functional materials on current collectors for Li-batteries for E-mobility

2. Main objective

to improve the economy and sustainability of cathode manufacturing lines by a solvent free electrostatic powder coating process which applies all components of the electrode material (e.g., LiFePO4, carbon black, binder, etc.) electrostatically as a powdery dry blend-mixture. Due to the absence of solvents an energy-intensive flash-off zone and thermal combustion or recondensation of the evaporated solvent is not required. The energy-intensive and long process for solidifying the state-of-the art liquid or pasty electrode material in a convection oven will be substituted by an energy- and floor space saving contact heating process like a heated roller or a heated press process which fixes the powdery dry blend electrode material on the current collector foil or optionally on the separator foil. For the purpose of comparison, a limited number of cells will be prepared according to wet chemical processes in state-of-the-art electrode manufacturing lines. A small scale demonstrator has to be designed.

3. Short Description

UMICORE provides various kinds of electrode materials regarding particle size ranges and distributions, flowability, fluidizability, electrical conductivity, (bulk-) density, and permittivity. FRAUNHOFER and DAIMLER identify the related material testing methods in terms of the application technique. The performance of the material combinations will be first characterized by standard coating methods to determine the electrochemical viability of the combinations. These results guide the process development for the dry blend coating while providing the basis for comparing and validating the new coating method. Also the collector foils such as aluminium (optionally as a special case also foamed metal substrates) and separator foils are selected by DAIMLER and FRAUNHOFER according to the process capability in electrode manufacturing lines. Eventually, methods for a suitable pretreatment or pre-coating of the electrode surface are developed (for example application of a conductive powder binder). Therefore, interactions between electrode substrate and bulk are considered. Based on the previous research and development work a layout for an small scale dry blend cathode powder coating demonstrator is developed by FRAUNHOFER, the continuous process control is implemented by In-Core. Pretreatment, powder application, ventilation engineering, filtering and powder recovery, compacting process, heating process, as well as the material flow, material handling, the safety concept ,the continuous process control (from IN-CORE in WP1) and the cost calculation are considered.The new pilot line concept in the form of a stand-alone machine on an INGECAL frame will be located at FRAUNHOFER who adapts the powder application and reclaim as well as the housing, IN-CORE adapts the imaging system. Accompanying tests are carried out by KROENERT. All process steps including in line and offline process control will be done in a pilot-scale plant which is transferable to mass production. The electrodes manufactured with the powder coating based process are assembled to cells in small series to check the reproducibility of the electrode manufacturing process.

4. Owner of result or contact person

Markus Cudazzo, Fraunhofer IPA, Nobelstraße 12, +49(0)711-970-1761 , [email protected], team leader

5. Responsible

Markus Cudazzo, team leader, [email protected]

6. Keywords

mailto:[email protected]


Battery; Lithium ion; E-Mobility, Dry-blend, Solvent-free, compacting

Innovation

1. Benefits for user

Floor-space saving techniques, energy consumption reduced (ca. 50%), high line speeds

2. Innovation brief description

New electrostatic application process based on conductive charging method, after the application several online compacting and temperature treatment processes to achieve the right porosity for a good electrochemical behavior and adhesion on the current collector foil

3. Innovation evaluation

Please evaluate in the scale 1 to 4

1 – Low innovation (merely reinforces existing competences)

2 – Little innovation (incremental innovation character)

3 – Considerable innovation (significant technological change)

* 4 – High innovation (radical / disruptive innovation character)

4. Market evaluation

Please evaluate in the scale 1 to 4

1 – Mature market

2 – Growth market

3 – Developing market

* 4 – New market

5. Risks and limitations

The adhesion on current collector still has to be improved, homogeneity of coated film is not in the same range than liquid coating processes

6. Innovation domain(s) (see Appendix 1)

Smart and flexible manufacturing Green processes Surface technologies

7. Technology readiness Level (TRL) (see Appendix 2)

TRL 7 – system prototype demonstration in operational environment


Exploitation

1. Industrial sector(s) of application

Battery or Supercap production,

2. Other potential sectors of application

possibly fuel cells, sanding paper production

3. Patent(s) / Licenses / Copyrights …

4. What is being searched? (new applications, buyer, take-up, licensing, further development, …?)

New applications

Dissemination and demonstration

1. Dissemination activities of result

poster_ELIBAMA-für

Ulm_neu2.pdf 2. Demonstration activities of result (including reference installations)

Not jet published

3. Photos and Videos

4. Other materials

none


Project

1. Project acronym

ELIBAMA

2. Project title European Li-Ion Battery Advanced Manufacturing for Electric Vehicles

3. Project date start and date finish

01.Nov. 2011-31.Okt. 2014

4. Finished Project? (yes/no)

no

5. Project short description

The global objective of the ELIBAMA project is to enhance and accelerate the creation of a strong European automotive battery industry structured around industrial companies already committed to mass production of Li-ion cells and batteries for EVs. Europe faces strong competition from Asia and the USA where more investments and production capacities for Li-ion batteries currently exist. The ELIBAMA project will exploit advanced eco-design methods of manufacturing battery cells in order to guarantee drastic gains in cost reduction and environment-friendliness across the value chain of the battery production. This will allow the production of competitively priced EVs while improving the overall safety and efficiency of the battery pack in use. Specifically, the project will focus on the development of eco-friendly processes for electrode production, electrolyte manufacturing, fast and homogenous electrolyte filling processes, cell design and assembly. Moreover, the project will develop new technologies that will allow to improve downstream quality and reduce the rate of defective products at the end of the manufacturing chain. Such technologies include introducing clean room manufacturing processes, online high resolution monitoring and inspection solutions and non-destructive testing processes for Li-ion cells. The recycling and refurbishing of end-of-life Li-ion batteries will be realized in three ways: (a) defining schemes for their safe take back and transportation, (b) developing diagnostic methods for the monitoring of used commercial batteries to assess their second life potential, and (c) defining best practices for the eco-design conception and easy dismantling of batteries in order to maximize their recycling potential. All these technical improvements will be closely monitored and validated from the environmental point of view by providing an integrated environmental assessment of the different technologies developed in the course of the ELIBAMA project.

6. Project website

http://www.egvi.eu/projectslist/31/37/ELIBAMA

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