Lessons learnt from past research and help for the future

1
Lessons learnt from past research and help for
the future

• Chris Brown
• (with thanks to Finella McKenzie ERRAC
  Evaluation WG)

2
Aim of today s presentation

• 634 million Euros have been spent on EU rail
  research over the last 10 years
• EC have done very little to evaluate this
  investment
• ERRAC and DfT have evaluated past research
• Much of past EU rail research was found to have
  weak market uptake
• Aim today is the share the lessons learnt so that
  future research can be much more effective

3
Outline

• ERRAC Evaluation Working Group summary of EU
  Framework rail research over last ten years
• TRL evaluation of impacts of UK rail research
  over last 20 years
• Help available
• Future calls

4
Summary of ERRAC Analysis

• 39 rail projects have been evaluated (out of
  138) 13 of them were found to have a strong
  market uptake, 6 medium and 20 weak
• The 13 projects with a strong market uptake were
  in
• Train Control and Monitoring Systems
• Improving Safety and Security
• Greening of Surface Transport
• The 20 projects with a weak market uptake are
  mostly in the domain of railway freight
  operation, while others relate to signalling and
  projects aimed at strengthening competitiveness

5
Projects evaluated and first results
Summary table of WP Project evaluations and
global costs (updated 06.07.2009)
This chart is ongoing and to be constantly
updated. Until all data is available, costs are
calculated on Global costs of Projects. After
all the updates are completed, total EU funding
costs can be calculated.
6
Uptake of Evaluated Projects
WP04 79.419.229
WP05 124.806.693
WEAK
STRONG
WP01
152.024.731
WP02 241.555.224
MEDIUM
WP03 35.841.008
39 Projects
Tot 138 Projects
Total projects in WPs _at_ July 2009
Level of Uptake of the results of Projects
evaluated
This chart too is ongoing and constantly updated,
and once all costs data are available, then the
percentage of EU funding can be shown.
Global cost of projects in WPs
633.646.885
7
Lessons learnt from strong market up-take
projects

• Projects aimed at solving real issues of
  acknowledged importance (eg. technical,
  harmonisation, business cases).
• Interaction between partners and relevant
  stakeholders
• Clearly defined scope and objectives at the
  beginning
• Results applied and implemented for products, or
  for regulatory application and made available for
  future revision
• Capability of building on results of previous
  projects
• Pilot cases or business cases developed.

8
Lessons learnt from weak market up-take projects

• Scope and objectives of the projects not clearly
  defined at outset
• Non harmonised approach/ commitment of partners
  involved
• Support of relevant stakeholders not sought for
  or not provided
• Organisational problems and no clear
  responsibility chain
• Solutions proposed do not take account of context
  involved, strategic implications, cost
  implications
• Results not implemented or implementable
  according to stakeholders interests/requirements
  or due to wrong timing
• Ownership of results not clearly defined for post
  project implementation activity
• Responsibility/ accountability for dissemination
  not planned.

9
Checklist strategic considerations

• Evaluate the strategic interests of the major
  stakeholders in advance of the project launch
• Evaluate the political risk if there is strong
  influence of political decisions on the market
  uptake of project results
• "Show-stoppers" should be identified prior to the
  project start
• Pre-competitive nature of the project facilitates
  project implementation

10
Checklist strategic considerations (2)

• Need to fully investigate potential benefits at
  the pre-competitive stage
• Earlier project(s) should be properly evaluated
  and consolidated before launching a follow-up
• Anticipate potential impact of the structural,
  regulatory and competitive changes in the sector,
  eg. liberalisation of the sector
• Consider whether an EU project is a viable
  alternative to internal product development
• Evaluate what is happening in the European
  standardisation arena (CEN/CENELEC, ERA
  activities etc)

11
Checklist economic considerations

• Consider economic dimension from the start
  implementation of project recommendations may
  require substantial investments and operational
  changes that stakeholders may not be in the
  condition to face unless supported
• The market need for harmonised solutions should
  be clearly identified at the project start
• Make sure that investment and the return on
  investment are balanced

12
Checklist technical considerations

• Project should address a market need for
  harmonised solutions
• Should not undermine the technological advances
  and the speed at which they are transferred.
• Technical complexity of implementation should be
  properly assessed, before and during the project

13
Checklist organisational aspects (1)

• Ownership of project results and responsibility
  to carry it forward should be clearly assigned to
  the relevant stakeholders at the project launch
• Involvement of major operators in the
  requirements definition and assessment of the
  results is key to success (eg. in steering
  committees)
• Continuity and ability to build on its
  predecessors

14
Checklist organisational aspects (2)

• Common comprehensive strategy in the sector
  ensure coordination between different potential
  partners from the very beginning of building new
  projects
• A real demonstrator / pilot implementation should
  be included in major projects, not stopping at
  the level of specifications

15
Evaluating Impacts of Completed Rail Research
Objectives
Objectives

• Enabling Action 12 - Evaluating Impacts of
  Completed Rail Research
• Examine rail research carried out over the last
  20 years
• Understand the impact of the research
• Highlight enablers and barriers to project
  success
• Identify the lessons learnt to inform future
  projects
• Propose a mechanism to track the benefits of
  future research

16
Methodology
Top-down approach

• Face to face / telephone interviews
• experts and industry figures
• knowledge and opinions on rail research role,
  successes failures

17
Methodology
Bottom-up approach

• Information in the public domain
• libraries, databases and websites
• 37,171 projects mentioning rail
• 48 representative projects selected
• 10 case studies selected

18
Distribution of Projects Examined
19
Ten Case Studies Analysed

• Network Modelling Framework (NMF)
• Crashworthiness of Joints in Aluminium Rail
  Vehicles (ALJOIN)
• Geogrid Reinforcement of Railway Ballast
• Requirements for train windows on passenger rail
  vehicles
• Development of a universal level crossing risk
  tool

• The Advanced Passenger Train (APT)
• Development of risk based examination intervals
  for Network Rail bridges
• Assessment of workload for signallers
• Route Analysis and Dynamics Assessment Research
  (RADAR)
• Analysing Impact of Changes in On-Rail
  Competition

20
10 key lessons learnt

• Align with an appropriate strategy
• Develop a business case
• Involve all the right stakeholders
• Form a steering group
• Agree scope and deliverables at inception
• Elect project champions
• Agree communication strategy
• Develop an implementation strategy
• Plan for knowledge retention and transfer
• Conduct a regular review on post-project progress

21
Key Enablers
22
Key Barriers
23
Further Information

• Full report on UK evaluation
• Evaluating Impacts of Completed Rail Research
• to be published on TRL website www. trl.co.uk
• Full ERRAC evaluations to be published on
  Transport Research Knowledge Centre website
  transport-research.info/web/

24
FP7 Help AvailableFP7UK

• An integrated team of National Contact Points
  (NCPs) funded by the Technology Strategy Board
  Department for Transport
• Role to help maximise the benefits to the UK
  from FP7 funding for transport policy
  applications by supporting
• UK participants
• in-depth knowledge on the FP7 thematic area
• advice on developing successful proposals
• advice on legal financial issues
• signposting - sources of funding to help prepare
  proposals partner search services other
  European programmes/initiatives
• Government Departments on programme
  implementation dissemination of funded RD in
  the FP7 themes related to their policy and
  business areas

25
FP7 Help AvailableFP7UK Transport NCPs

• Network of three Transport NCPs providing FP7
  support for the policy and business areas of
• Department for Business Innovation Skills
• Department for Transport
• NCP Transport Policy Applications GALILEO
• funded by Department for Transport
• covers FP7 Rail RD funded by DGRTD DGTREN
• Who Finella McKenzie
• finella.mckenzie_at_virgin.net
• 01273-390512
• http//www.fp7uk.co.uk
• FP7UKs Transport News alerts sign up
  http//www.fp7uk.co.uk/site/Register/default.cfm

26
FP7 Help AvailableDGRTD DGTREN - Rail

• DGRTD Frederic Sgarbi, Head of Unit, Surface
  Transport
• email Frederic.Sgarbi_at_ec.europa.eu
• Tel [phone]
• DGTREN Theodore Schlickmann, Rail Transport
  Interoperability
• email Theodore.Schlickmann_at_ec.europa.eu
• Tel [phone]

27
FP7 Help AvailableFP7 Transport 3rd Call
Commission Information Day

• FP7 Information Day Surface Transport, 28
  September 2009, Brussels (Charlemagne Building,
  Rue de la Loi 170)
• register online by 15 September 2009 latest at
  http//ec.europa.eu/research/transport/events/info
  days2009_en.html
• coverage includes
• Transport Horizontal Call (with rail
  opportunities)
• Rail Freight context topics
• Networking Information Boards
• Additional Networking Activities, probably 29
  September 2009
• to be organised by the ETNA Transport NCP Network
  on basis of completed online profiles
  http//www.transport-ncps.net/node/91

28
FP7 Additional Help AvailableRegional
Development Agencies in England Support in
Scotland, Wales Northern Ireland

• Network of nine Regional Development Agencies
  across England, Scottish Enterprise, Invest
  Northern Ireland, Welsh Assembly Government
• some provide grants for proposal preparation
• some provide assistance with partner search using
  their national networks Brussels offices where
  they have them
• some organise regional events with the relevant
  FP7UK NCP representation

29
FP7 Additional Help AvailableEuropean
Commission - CORDIS

• CORDIS Community RD Information Service
  http//cordis.europa.eu/home_en.html
• FP7 portal to access all information relating to
  FP7 Calls, documentation, project database (from
  1999 onwards) etc http//cordis.europa.eu/fp7/fp7/
  home_en.html
• CORDIS Partner Search Service create your
  profile, search other profiles, alert you to new
  profiles http//cordis.europa.eu/partners-service
  /home_en.html
• email notification create a customised profile
  receive the latest RD news http//cordis.europa.e
  u/news/newsalert_en.html

30
FP7 Additional Help AvailableEuropean
Commission Other Helplines

• Research Enquiry Service all aspects of European
  research including FP7 http//ec.europa.eu/researc
  h/index.cfm?pgenquiries
• IPR Helpdesk intellectual property rights in EU
  funded projects http//www.ipr-helpdesk.org/home.h
  tml

31
FP7 Towards 2011 Transport WorkprogrammeIndicat
ive Calendar
32
FP7 Towards 2011 Transport WorkprogrammeIndicat
ive Budget

• Surface Transport 127 million
• Horizontal Activities (Co-Modal including
  Rail/Cross-Cutting Issues) 6 million

33
FP7 Towards 2011 Transport WorkprogrammeIndicat
ive Priorities

• Surface Transport
• Global system efficiency logistics, traffic
  control, infrastructure capacity optimisation
  maintenance, bottlenecks in terminals,
  co-modality
• Energy efficient heavy duty vehicles
• Green Cars Initiative charging infrastructure
• Socio-economic research (transport users
  expectations needs life cycle assessment,
  comparative assessment of energy efficiency from
  well to wheel)
• Safety security filling gaps (25 projects
  already funded)
• ? Joint Call marine maritime research strategy

34
FP7 Towards 2011 Transport WorkprogrammeIndicat
ive Priorities

• Horizontal activities (Co-modality/Cross-Cutting
  Issues)
• Socio-economic research and technology foresight
• Integration of modes cross-cutting research
• Strengthening the European Economic Area and
  participation
• Dissemination and awareness of research results

35
Successful UK Rail Proposals 2007Delivering UK
participants 4.18 million grant funding
36
Successful UK Rail Proposals 2008Delivering UK
participants 6.41 million grant funding
37
FP7 Is it For You?Business rationale for
investing in collaborative RD

• Does the RD topic specification fit within your
  business strategy?
• Will it help increase your competitiveness
  market share?
• Is it RD that you would or should ideally be
  doing anyway?
• Does collaboration bring economies of scale
  enabling you to undertake the RD youd like but
  couldnt otherwise afford?
• Will collaboration deliver a significant return
  on your investment in terms of access to new
  knowledge generated by a project with a budget
  several times your own stake?
• With whom should you collaborate to develop a
  successful project what can you bring to the
  table?
• How much resource will it consume?
• What help is out there?

38
FP7 Towards 2011 Transport WorkprogrammeContext

• Policy Drivers
• Complementarity Synergy
• Planning Budget 2011-2013

39
FP7 Towards 2011 Transport WorkprogrammePolicy
Drivers

• High Priority
• Long term perspective competitiveness
  sustainability
• Climate change
• Globalisation, external dimensions
  international cooperation
• European Economic Recovery Plan
• Coordination with other FP7 themes
• Medium Priority
• Broad societal changes in Europe beyond
• EU transport policy initiatives
• Enhancing strengthening the European Research
  Area

40
FP7 Towards 2011 Transport WorkprogrammeComplem
entarity Synergy

• Priorities
• Take account of ongoing developments in the FP7
  Mid-Term Review
• Review balance between funding instruments with
  more focus on Collaborative Projects Small to
  Medium Scale Coordination and Support
  Actions
• Gap analysis of workprogramme coverage by funded
  projects
• JTIs including Fuel Cell and Hydrogen JTI

41
FP7 Towards 2011 Transport WorkprogrammePlannin
g Budget for 2011-1013

• Indicative budget of 858 million (44) remaining
• ? One call each per annum for
• Surface Transport
• Aeronautics Air Transport
• Horizontal (Co-Modal/Cross-Cutting Activities)

42
Definition of market uptake / S
Strong market uptake

• Clear evidence of use of products, processes,
  dissemination of knowledge, tools etc. in several
  countries/products
• Need for additional projects but only in
  complementary areas.

43
Definition of market uptake / M
Medium market uptake

• Some evidence of use of products, processes,
  limited dissemination of knowledge, tools etc. in
  a few countries/products
• Follow up project may be necessary
• In the coming years it is possible that the
  result is going to be used more frequently if not
  forgotten

44
Definition of market uptake / W
Weak market uptake

• No known use of products, processes,
  dissemination of knowledge, tools etc. have been
  identified anywhere
• No follow up project is needed unless the reason
  for the market uptake failure is clearly
  understood and removed.

45
List of Evaluated ProjectsWP01 The Greening of
Surface Transport

• 7 out of 26 projects evaluated in WP01

46
List of Evaluated ProjectsWP02 Encouraging
modal shift Decongesting Transport Corridors

• 14 out of 42 projects evaluated in WP02

47
List of Evaluated ProjectsWP03 Ensuring
sustainable (sub)urban transport

• 2 out of 10 projects evaluated in WP03

48
List of Evaluated ProjectsWP04 Improving
Safety Security

• 5 out of 26 projects evaluated in WP04

49
List of Evaluated ProjectsWP05 Strengthening
Competitiveness

• 11 out of 34 projects evaluated in WP05