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© Fraunhofer
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From Knowledge to Market - IP Challenges in the Commercialisation of R&D Results
Seminaire Valorisation de la Recherche, brevet et propriété intellectuelleParis 2010
Dr. Lorenz Kaiser
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The Profile of the Fraunhofer-Gesellschaft
7 Groups:
Information and Communication Technology
Life Sciences
Microelectronics
Light & Surfaces
Production
Materials and Components - MATERIALS
Defense and Security
60 Institutes
17 000 employees
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Quelle est cette plante?
Changing its enzymes it can by used for producing latex easily in big dimensions
The rest of the plants esp. the roots can be used as rabbit food because of its high inuline concentration
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Functions of IP in a Research Organization depending on the form of Cooperation
IP as asset for securing a position in technology
IP as patent manifesting market power
IP as aquisition instrument for business
IP as defending instrument against competitors
IP as basis for licence revenues
IP as incentive and motivation of staff
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The Foreground of former projects is often (partly) the the Background in new Projects
Preparation and Acquisition Phase
Foreground IP(former project)
Background IP
Foreground (new project)
Contract andTransfer Phase
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IP in the Preparation Phase of R&D-ProjectsIP in the Preparation
Phase of R&D-Projects
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Know-how Protection in thePreparation Phase - risks
Naive trust in the confidentiality obligation of the partner
Missing factual control mechanisms of own Know-how
Unprotected exchange of Know- how in the preparation phase
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The Use of Non Disclosure Agreements for Damage Compensation in Case of Breach of confidentiality??
Most European Legal Systems cannot compensate the real loss in case of breach of confidentiality.
Disadvantage in competition cannot be figured out
No legislation about this question available (at least not in Germany)
Consequence
Find additional effective technical protection of your IPEsp. protect electronic data against espionage
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Essential Measures for Know-how Protection
Legal:
Confidentiality Agreements with satisfactory rulessatisfactory rules
Check rules of labour contractslabour contracts about confidentiality clauses, also "for the time after""for the time after"
IP - Professionals for Contract-Negotiations
Check, observe and completeCheck, observe and complete patent portefolio
Technical:
Control electronic dataelectronic data,, seperate internal server recommended with reduced access to sensitive datareduced access to sensitive data
Remove MobilesRemove Mobiles and Memory SticksMemory Sticks out of the meetings
Install a person responsible for Know-how protectionperson responsible for Know-how protection
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JOSEPH VON FRAUNHOFER-AWARD 2009
Coining by blast with explosive agents to create holographic structures in steel as protection against counterfeiting expensive metal spare parts of machines and automobile parts
Günter Helferich
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Impact of IP in Different Forms of Cooperation
Impact of IP in Different Forms of Cooperation
Internal IP Managament and Licensing
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The 3 threats from strong competitors with IP power
Make helplessMake helpless
Hollow outHollow out
Amalgamate and scrap
Amalgamate and scrap
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A specific Portfolio-Technique tries to help to identifiy patent utilization Opportunities of Fraunhofer institutes
Patent Portfolio
4
3
Patent Quality
Pote
nti
al
mediumsmall large
med
ium
small
larg
e
2
1
Potential = market opportunities: Cannot be influenced by the institute
Patent Quality: Can be influenced by the institute
Patent-Cluster
Cluster-Patents protect inventions
@̶ targeting a common product spectrum
@̶ based on the same technology / approach
Number of patent families
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Licensing Problem: The Development Gap
In most sectors, companies will only license fullydeveloped technologies this especially true in:
Life Science is an exception. Projects start later;Less time for exploitation caused by longer developmentand clinical test series
> patent protection phase can be prolonged to 25 years
engineering
electronics
physical sciences
> patent protection phase is 20 years
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Impact of IP in Different Forms of Cooperation
Impact of IP in Different Forms of Cooperation
Contracting (vertical and horizontal cooperation)
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Forms of Cooperation in a RTO as Knowledge Hub
Portefolio building
internal research
cooperation
alliance/cluster
licencing
spin off
Joint Venture
contract research
foundation
RTO
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Research/Market
Push Pull
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Success and Failure close togetherThe Different Applications of Service-Robots
WindowcleaningEntertainment / Info / Guidance
Inspection of chemical facilities
Maintenance and Inspection
Floorcleaning
Healthcare Guarding Manufacturing
Housekeeping
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The "Rights-to-the-Results-Problem of of Contract Research
field of application exklusive
option for another fields of application
other fields of applicaton to be negotiated
field of application for third paty (comeptitor!)
other field of application non exclusive
field of application exclusive for a limited time period
Property
Patents a.o.
Know-how
Rights to the Results
Rights to the Results
usual industry position: overall property of IP in contract research
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The Enforcement Problem in R&D Contracts
Client: guarantee for no conflicting rights in the commercialisation phase
R&D Performer: No guarantee, but hold harmless against third party claims
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Example for Coollaborative Research
Resistant prions
(IME) Prions, the pathogens that cause scrapie in sheep, can survive in the ground for several years, as researchers have discovered. Animals can become infected via contaminated pastures.
It is not yet known whether the pathogens that cause BSE and CWD are equally resistant.
© Fraunhofer IME
Researchers bury prions in the ground.
ZV-P2/August 08
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Rights of Use in Collaborative (and funded) Research
Foreground Background
For the duration of the project
• non-exclusive rights
• royalty free
Beyond it, especially for commercial exploitation of the results
PRO‘s Position
•non-exclusive rights
• against royalties
Industry Position
Exclusive right
Royalty free
Where required for the exploitation of the results
• non- exclusive rights
• against royalties
Where required for the execution of the project
• non-exclusive rights
• free or against royalties
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In brief Challenges of Strategic
Alliancesand Joint Ventures in R&D
In brief Challenges of Strategic
Alliancesand Joint Ventures in R&D
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Strategic Alliances
IP Pools - question of costs
joint ownership - how to exploit
industry exploitation -sharingthe revenues
joint development and/orexploitation company
EU - Competition law "cross subzidation"
Non for profit - Status of PRO's
New long binding models : NoE, JTI, with different exploitation schemes
Negotiations about Legal problems
Balancing the interests of stake-holders is often extremely difficult
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University Cooperation Model:"Annex"-Institut (Research Institute associated with a University)
University
Company donating Founds
Conjoint
Appointment
Cooperation ContractAnnex-InstituteAnnex-Institute
Universityinstitute
Universityinstitute
Universityinstitute
Approval
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IP-Scheme "Annex-Insitute"
excellent basis for creating joint IP competeence, Research and industry cooperation under the roof of the university
IP-schemes enable direct transfer
"Annex-Institute" is directly involved in creating and exploiting IPTransfer of IP through staff may be goes to industry
"Neighbour institutes" have chance to increase knowledge base
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Cooperation Model "Spin In"
Subsidiary orBranch lab:
Development or
Production(small series)
Subsidiary orBranch lab:
Development or
Production(small series)
Research Institute
Research Institute
CompanyCompany
Cooperation LicensingJoint Development
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IP-Scheme "Spin In"
rental-models do not influcence the IP-rules directly
Additional cooperations determine the IP-rules
IP-schemes on prefential conditions
discussions about IP-Property
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Cooperation Model: Joint Platform Science / Industry (compare JTI -system of the EU)
Research Alliance 3
IndustryInvestmentof xx Mio €
IndustryInvestmentof xx Mio €
InstituteInvestment
IP and lab capacity value xx Mio €
InstituteInvestment
IP and lab capacity value xx Mio €
Institute Laboratory
Using Proportion
Industry
80 %
Institute
20 %
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IP-Schemes Sharing the Resources
Similar to Spin in model: no exclusive transfer of institute's competence!
Strong impact of competition and state aid law
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La solution du mystère:La plante est "pissenlit" Dandelion
Dandelion latex congeals quickly, making its
rubber difficult to extract:
Fraunhofer IME has discovered the enzymes responsible for coagulation. The enzymes can be suppressed by RNAi
Fraunhofer scientists have created transgenic dandelion plants with free-flowing latex, from which large quantities of rubber can be extracted
the roots and other plant rests of dandelion esp a Russian subspecies is an ideal rabbit food because of high inulin concentration
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Paris, January 2010
Dr. Lorenz Kaiser
From Knowledge to Market - IP Challenges in the Commercialisation of R&D Results