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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 and Resolve Disputes
Wim VanhaverbekeUniversity of Hasselt, Vlerick Leuven Gent Management School, ESADE Business School (Barcelona), Founder of Exnovate
Esther van ZimmerenResearch Fellow FWOUniversity of [email protected]
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Thesis
Organizations involved in Open Innovation (OI) have an even bigger incentive to use ADR in order to prevent and resolve disputes
Workshop on ADR in R&D Collaborations, November 13 2009,
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 & ADR1. Multiple Parties
2. IP Models
3. Collaborative Licensing Models & ADR1. Patent Pools & ADR
2. Clearinghouses & ADR
4. Conclusions
Workshop on ADR in R&D Collaborations, November 13 2009,
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, WestOpen Innovation: Researching a New Paradigm (2006)
What is Open Innovation?What is Open Innovation?
Introduction
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
ResearchResearchInvestigationsInvestigations
DevelopmentDevelopment New ProductsNew Productsor Servicesor Services
TheMarket
Science&
TechnologyBase
R DSource: Henry ChesbroughSource: Henry Chesbrough
A Closed Innovation System
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Fundamental Technology Breakthroughs
New Products and FeaturesNew Products and Features
Increased Sales and Profits via existing business modelIncreased Sales and Profits via existing business model
Increased investmentIncreased investmentin R&Din R&D
Source: Henry ChesbroughSource: Henry Chesbrough
CI: The Virtuous Circle for R&D
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Fundamental Technology Breakthroughs
New Products and Features
Increased Sales and Profits
Increased investment
in R&D
Key engineersexit to form new company
Venture Capital helps team to focus onnew market, new business model
IPO or acquisition
RIP
The outside option
Source: H.Chesbrough
OI: The Virtuous Circle BrokenOI: The Virtuous Circle Broken
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
CurrentMarket
InternalTechnology
Base
R D
New Market
ExternalTechnology
BaseExternal research projectsExternal research projects
Venture investingVenture investing
Technology in-licensingTechnology in-licensingTechnologyTechnologyacquisitionacquisition
Source: H. ChesbroughSource: H. Chesbrough
Inbound OI: Filling gaps with external Inbound OI: Filling gaps with external technologytechnology
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
CurrentMarket
InternalTechnology
Base
R DTechnology Insourcing
New Market
Technology Spin-offs
ExternalTechnology
Base
Other Firm’s Market
Licensing
Source: H. Chesbrough
Outbound OI: Profiting from Outbound OI: Profiting from others’ use of your technologyothers’ use of your technology
Workshop on ADR in R&D Collaborations, November 13 2009,
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: Open Innovation: Crucial dimensions Crucial dimensions in open innovation strategiesin open innovation strategies
Workshop on ADR in R&D Collaborations, November 13 2009,
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 partnersb) conditions access third parties
i. Open sourceii. Collaborative licensing models
Basic IP Issues
Workshop on ADR in R&D Collaborations, November 13 2009,
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
Workshop on ADR in R&D Collaborations, November 13 2009,
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
Workshop on ADR in R&D Collaborations, November 13 2009,
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- …
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Multiple Parties
Contracting Parties Contracting Parties & Third Parties
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
IP Models
Bilateral Licenses
Cross-licenses
Open Source
Collaborative IP modelsPatent PoolsClearinghouses
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Collaborative IP Models & ADR
L1
L2
L3
L4
P2
P1
P4
P3
L1
L3
L2
L4
P2
P3
P4
P1 Clearinghouse
Patent Pool Clearinghouse
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Patent Pools & ADR
L1
L2
L3
L4
P2
P1
P4
P3
Conflict
Conflict
Conflict
Conflict
Conflict
Conflict
Conflict
Litigation?European Commission Technology Transfer Guidelines - ADR
ArbitrationMediationExpert determination
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
Clearinghouses & ADR
L1
L3
L2
L4
P2
P3
P4
P1 Clearinghouse
Litigation?
ADRMediationExpert determination
Workshop on ADR in R&D Collaborations, November 13 2009,
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 PoolsClearinghouses
Workshop on ADR in R&D Collaborations, November 13 2009,
Leuven
20032003
Open Open InnovationInnovation
for for Policy makersPolicy makers
Vision-EranetVision-Eranet
Implementing and organizing open innovation
20062006
20062006 20082008
20102010
Exnovate as a network of excellence for OI-practitioners and scholars?
• www.exnovate.org = An international network of excellence on Open and Collaborative Innovation based on connecting people, creating transparency and leveling up quality of services• Connects companies – academia (30 top scholars
networked) – governments – service providers• Membership organization
• ProjectsProjects– CE and OI Masterclass (6 times already)
http://masterclassfall2009.cisevents.hightechcampus.nl/ – European Innovation Forum– Calls for proposalsr OI-management solutions
• Free information : cases, syllabi & updated bibliography about open innovation, PhD projects, etc…
