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Workshop on ADR in R&D Collaborations, November 13 2009, Leuven New Ways of R&D Collaboration: Open Innovation, Collaborative Licensing and How to Prevent.

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Presentation on theme: "Workshop on ADR in R&D Collaborations, November 13 2009, Leuven New Ways of R&D Collaboration: Open Innovation, Collaborative Licensing and How to Prevent."— Presentation transcript:

1 Workshop on ADR in R&D Collaborations, November , Leuven New Ways of R&D Collaboration: Open Innovation, Collaborative Licensing and How to Prevent and Resolve Disputes Wim Vanhaverbeke University of Hasselt, Vlerick Leuven Gent Management School, ESADE Business School (Barcelona), Founder of Exnovate Esther van Zimmeren Research Fellow FWO University of Leuven

2 Workshop on ADR in R&D Collaborations, November , Leuven Thesis Organizations involved in Open Innovation (OI) have an even bigger incentive to use ADR in order to prevent and resolve disputes

3 Workshop on ADR in R&D Collaborations, November , Leuven Plan 1.Open Innovation (OI) 1.Introduction 2.Closed Innovation 3.OI 4.Crucial dimensions in OI 2.Basic IP Issues Conflicts – Recent Example 3.OI & R&D Collaborations & ADR 1.Multiple Parties 2.IP Models 3.Collaborative Licensing Models & ADR 1.Patent Pools & ADR 2.Clearinghouses & ADR 4.Conclusions

4 Workshop on ADR in R&D Collaborations, November , Leuven “Open innovation is the use of purposive inflows and outflows of knowledge to accelerate internal innovation, and expand the markets for external use of innovation, respectively.” Chesbrough, Vanhaverbeke, West Open Innovation: Researching a New Paradigm (2006) What is Open Innovation? Introduction

5 Workshop on ADR in R&D Collaborations, November , Leuven ResearchInvestigationsDevelopment New Products or Services The Market Science & Technology Base RD Source: Henry Chesbrough A Closed Innovation System

6 Workshop on ADR in R&D Collaborations, November , Leuven Fundamental Technology Breakthroughs New Products and Features Increased Sales and Profits via existing business model Increased investment in R&D Source: Henry Chesbrough CI: The Virtuous Circle for R&D

7 Workshop on ADR in R&D Collaborations, November , Leuven Increasingly mobile trained workers More capable universities Knowledge distributed more widely throughout the world Diminished US hegemony in many leading technology fields Erosion of oligopoly market positions Deregulation (EU-liberalization) Enormous increase in Venture Capital Source: Henry Chesbrough What changed? New Division of Innovation Labor Open Innovation

8 Workshop on ADR in R&D Collaborations, November , Leuven Fundamental Technology Breakthroughs New Products and Features Increased Sales and Profits Increased investment in R&D Key engineers exit to form new company Venture Capital helps team to focus on new market, new business model IPO or acquisition RIP The outside option Source: H. Chesbrough OI: The Virtuous Circle Broken

9 Workshop on ADR in R&D Collaborations, November , Leuven Current Market Internal Technology Base RD New Market External Technology Base External research projects Venture investing Technology in-licensing Technologyacquisition Source: H. Chesbrough Inbound OI: Filling gaps with external technology

10 Workshop on ADR in R&D Collaborations, November , Leuven Current Market Internal Technology Base RD Technology Insourcing New Market Technology Spin-offs External Technology Base Other Firm’s Market Licensing Source: H. Chesbrough Outbound OI: Profiting from others’ use of your technology

11 Workshop on ADR in R&D Collaborations, November , Leuven Strong/weak IP regime Complexity and cost of technologies Relevance of emerging technologies Products or integrated solutions Core technologies or not Precompetitive or application driven –non-exclusive or exclusive rights Vertical vs. horizontal cooperative deals –Specialization of labor (technology markets) and FTO/I Open Innovation: Crucial dimensions in open innovation strategies

12 Workshop on ADR in R&D Collaborations, November , Leuven embryonic potential growthmaturedeclining/ obsolete Collaborative research Own Research Technology life cycle potential generic technology application oriented IMEC’s position in the technology life cycle Open Innovation

13 Workshop on ADR in R&D Collaborations, November , Leuven 1.Commercial objectives – link with IP 2.Fee for service contracting model vs. full-scale collaboration 3.Do not postpone legal issues vs. overly complicated contract 4.Strong, long-term relationship with the collaborators (non-disclosure agreements) 5.IP ownership – Employees 6.Background/foreground IP a)conditions access partners b)conditions access third parties i.Open source ii.Collaborative licensing models Basic IP Issues

14 Workshop on ADR in R&D Collaborations, November , Leuven Conflicts – Recent Example Board of Trustees of the Leland Stanford Junior University v. Roche Molecular Systems, Inc. (Fed. Cir. 2009) co-development in the late 1980's and early 1990's of the application of PCR technology to HIV detection by Stanford and Cetus (private company that developed and owned the PCR technology) Agreements "Copyright and Patent Assignment (CPA)" agreement Holodniy - Stanford "Visitor's Confidentiality Agreement (VCA)" Holodniy - Cetus "Materials Transfer Agreements“ Stanford - Cetus

15 Workshop on ADR in R&D Collaborations, November , Leuven Conflicts – Recent Example Board of Trustees of the Leland Stanford Junior University v. Roche Molecular Systems, Inc. (Fed. Cir. 2009) 3 US patents held by Stanford Roche successor in title Cetus Licensing negotiations fail Stanford sues Roche CAFC: Stanford had no standing Legitimate assignment of rights to Cetus/Roche

16 Workshop on ADR in R&D Collaborations, November , Leuven OI & R&D Collaborations & ADR Open Innovation – R&D Collaborations -Value Creation -Long-term Relationships -Complexity -New technologies -Expertise – Complimentarity -Funding/revenue -Knowledge Transfer -Bringing Product to the Market -…

17 Workshop on ADR in R&D Collaborations, November , Leuven Multiple Parties Contracting Parties & Third Parties

18 Workshop on ADR in R&D Collaborations, November , Leuven IP Models Bilateral Licenses Cross-licenses Open Source Collaborative IP models Patent Pools Clearinghouses

19 Workshop on ADR in R&D Collaborations, November , Leuven Collaborative IP Models & ADR Patent PoolClearinghouse

20 Workshop on ADR in R&D Collaborations, November , Leuven Patent Pools & ADR Conflict Litigation? European Commission Technology Transfer Guidelines - ADR Arbitration Mediation Expert determination

21 Workshop on ADR in R&D Collaborations, November , Leuven Clearinghouses & ADR Litigation? ADR Mediation Expert determination

22 Workshop on ADR in R&D Collaborations, November , Leuven Conclusions Organizations involved in Open Innovation (OI) have an even bigger incentive to use ADR in order to prevent and resolve disputes -Open relationships -Long-term relationships -Expertise -Negotiated solutions -Quick solutions -Transaction costs – Litigation costs -Role of precedents ADR integrated in Collaborative IP models? Patent Pools Clearinghouses

23 Workshop on ADR in R&D Collaborations, November , Leuven 2003 OpenInnovationfor Policy makers Vision-Eranet Implementing and organizing open innovation

24 Exnovate as a network of excellence for OI-practitioners and scholars? = An international network of excellence on Open and Collaborative Innovation based on connecting people, creating transparency and leveling up quality of serviceswww.exnovate.org Connects companies – academia (30 top scholars networked) – governments – service providers Membership organization ProjectsProjects –CE and OI Masterclass (6 times already) –European Innovation Forum –Calls for proposalsr OI-management solutions Free information : cases, syllabi & updated bibliography about open innovation, PhD projects, etc… 24


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