co-dev process-communication guide-eng-v0.pptx

21/07/2014

Co-Dev & Co-innovation Process

Communication Guide for SourcingC. VAYSSE - G. CHRETIEN – N. MICHEL

© ALSTOM 2013. All rights reserved. Information contained in this document is indicative only. No representation or warranty is given or should be relied on that it is complete or correct or will apply to any particular project. This will depend on the technical and commercial circumstances. It is provided without liability and is subject to change without notice. Reproduction, use or disclosure to third parties, without express written authority, is strictly prohibited.

Presentation title - 28/04/2023 – P 2

TABLE OF CONTENTS

Co-Dev Process definition 4 steps:

Co-dev governance & KPIs



TABLE OF CONTENTS

Co-Dev Process definition 4 steps:



Process definition Co-dev: 4 steps#1: Caracterisation of the need

#1Caracterisation

of the need

Selection Supplier

ContractNegotiation

ContractExecution

Collaboration“PUSH”

To Supplier Partners

Collaboration“PULL”

From Supplier Partners

InformThe suppliers of the middle terms opportunities, the innovation thematics and our market perception.

Facilitate the appropriate supplier R&D disclosure

Present to his key-suppliers the middle term CM strategy

Precise The Project Management and their associate milestones to achieve an innovative programme (TRL).

Visit Innovative suppliers and invite them to share with appropriate ATSA actors.

Launching specific competencies calls :Pacte fournisseurs (Portals), the « Pôles de Compétitivité » (i-Trans, SYSTEMATIC …)

Organize :• Some Engineering Watch Meeting with our LP

suppliers (eg: Thermo King, Lucchini…) to detect some innovation.

• some Tech Day with some external laboratories (CEA etc…)

Facilitate the bottom-up exchange with the supplier

• Tacking into account the spontaneous proposals.

• Simplify the non-panel relationship (audits) & PO launching

• Define the entry-point @ ATSA level for non-panel (ad-hoc) suppliers and to stream the demands.



#2: SUPPLIER SELECTION

Mapping Co-innov_co-Dev

#1Caracterisation

of the need

#2 Supplierselection

ContractNegotiation

ContractExecution

CM role The CM enlarges the RFQ to non-panel suppliers

He activates in and out of the railway sector

If necessary, he facilitates mergers between companies He uses the 2 XL tools in relationship with the strategy

of the commodity



#2: SUPPLIER SELECTION - Supplier Rating Matrix

Supplier Mapping

#1Caracterisation

of the need


ContractNegotiation

ContractExecution



#2: SELECTION DES DEV. - Co-Dev Selection

#1Caracterisation

of the need


ContractNegotiation

ContractExecution

Feuille de calcul Microsoft Excel



#3: CONTRACT NEGOCIATION

#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

CONTRACT NEGOCIATION Rules and clauses• Stakeholders establish contractual rules for cooperation and development of

innovation which leads or not to the serial stage. The DFQ qualification milestones are clearly defined and communicated.

• Intellectual Property Strategy is in line with the policy of commodity defined by the upstream CM (see below).

• The Intellectual Property Strategy is submitted to the supplier.• Temporary economic dependence may be considered by the CM.• CM alert innovative suppliers on IP issues / Technology Transfer and ensure that

they can eventually use legal advisory structures for these aspects..

Commitments• CM ensures that contracts facilitate the development of suppliers(win/win).• The contractual terms are defined accordingly :

- Live accompaniment by a contribution of human resources (experts, scientists, engineers) and / or training.

- Financial support, DFQ Process (planning), industrialization and homologation (with a third party?)

Duration• The parties agree to sign long-term contracts (Development phase + supplying

phase) (TRL #).• The contract must be signed before the start, at least, the IP strategy was

submitted and accepted by the supplier



#3: NEGOCIATION DU CONTRAT – IP Check-list

#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

1 /What are the key milestones of technical, technological and industrial maturity deliverables R & T audited by the big account? - In "Build to Spec“ mode (build to specifications) - In "Build to Print“ mode (design / construction from design / technical specifications) - In "Design and Build“ mode (design and construction) - In providing "COTS" (Commercial Off The Shelf)..

2 /What is the value added in terms of contribution of the supplier to obtain the result? - For the specification of the requirement, the solution - To carry out the solution - For technical validation, functional - For after-sales- ...

3 / What are the limits of liability of the supplier?

4 /What information is needed for each of the parties and how they access it to make, use, exploit deliverables of the contract? - According to the phases of industrial life? - On what life is and what?

5 /What are the agreed transfer know-how or predict (TOT, offsets, ...)

6 /What are the rules of confidentiality?

7 / What is the nature of expected results? Concept, algorithm, demonstration, model, prototype, COTS ...

8 /What areas of exclusivity on the use and exploitation of the results? - In which markets? - For how long?

9 / What is the use and operation to be made by the general account of the results, internally and externally?

10 / What are the compensation granted? - Financial / future contracts / various aid / ...

11 / What is the policy for the protection of inventions arising from co-innovation between the parties?



#3: NEGOCIATION DU CONTRAT

IPD-WMS-001 - Instruction for Intellectual Property Strategy Definition in Technical Partnerships

#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

DEFINITION OF THE PRINCIPLES OF INTELLECTUAL PROPERTY (Intellectual Property

Strategy)

Agreement on the following points is systematically sought in regards of the intellectual property:

Clarify in advance with a common legal vocabulary • The benefit of any intellectual property created in partnership• The contributions of each• Rights to use and further exploitation (licensing, sub-licensing)

Define precisely and in a balanced way Property and rights associated with prior knowledge (Background)

belonging to the parties before signing the contract generated or acquired by the parties during the execution of co-dev but

not in the contract licensed by third parties but whose use is essential to the execution of the

Co-Dev.. Property and rights associated with new knowledge (Results / Foreground)

Results created or developed by one party as part of the implementation of co-dev

Developed jointly by the parties within the framework of the implementation of co-dev



#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

#3: NEGOCIATION DU CONTRAT – IP Agreement

Agreement color

• Ownership of the Results resulting from the Co-dev,• Property of IPRs resulting from the Co-dev,• Right of use and industrial & commercial exploitation of

the Results and IPRs.



#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

IP Matrix Result

#3: NEGOCIATION DU CONTRAT – IP Matrix Result



#1Caracterisation

of the need


#3Contract

Negotiation

ContractExecution

#4: CONTRAT EXECUTION - Support and Performance indicators

CONTRACT EXECUTION (QCD) Performance indicators:In a context of co-innovation, the CM assesses both: the maturity of the itself innovations with ad hoc standards or

indicators, such as: indicators such as TRL (Technology Readiness Level)

The supplier "industrial" maturity to prevent further introduction of innovation in production: Crossing the (pre) qualification milestones during the R&T phase Keeping corresponding quality plans Type Indicators "SRL" (Supplier Readiness Level): measuring the industrial capacity of the supplier to master the technology in question

Launch the Supplier system audit with SQD dpt

Supplier support ATSA (CM / ENG) implements the contractual assistance. The Parties shall develop follow the project according to the co-

innovation results.

Post-contract management Protection of IPRs by Results Confidentiality/ Publications Royalties in / out Infringement



TABLE OF CONTENTS

Co-Dev Governance:



Sourcing Product & Strategy Director role for Co-Dev

Establish at ATSA level the list of key innovative suppliers used or identified by the internal parties :

• Sourcing Domains and Regions• PL Directions (Strategy, Industrial, R&D)

Monitor and supervise the co-innovation process and best practices by :• Monitoring the Innovation Supplier Dashboard (reporting / appropriate audits)-see KPIs• Putting in place the adequate RACI and governance • Accelerate the Co-Dev partnership among the Sourcing community • Complying with TRL milestones and R&T maturity• Participate to the ATSA’s Innovation Board as Sourcing Innovation referent to:

Arbitrate MoB decision: Be the sourcing voice Promote new solutions out of the market: Idea generation process from the Sharepoint Manage the Sourcing Innovation Committee on a bi-Monthly Basis Propose and push Sourcing R&D programs (i.e. Captive parts program)

Facilitate the contact with the suppliers in open-innovation mode. • Suppliers (in/out panel), internal organization • External partners public or private.

Meet the innovative supplier managers to deal with : • Middle term and long term vision of the Business

Approve / Support the growth and development of appropriate key suppliers :• Synergy @ group level / Competitivity pole• Implement relevant programmes based on policy-relevant suppliers groupings• Eventually support the supplier initiative in terms of resources, technical or financial aids.



Mapping de fournisseurs potentiellement innovants

Un train plus capacitaire et confortable

- EADS (Astrium) : pièces en composite (allègement)

- EXPLISEAT : sièges légers

Un train consommant moins

d’énergie- ADETEL : convertisseurs

statiques- BOLLORE : batteries

LMP- CALYOS : Capillary

Pumped Loop (natural cooling)

- MERSEN : cercles de phase, busbar, connexions de puissance

- NEXTER : SSPC, convertisseurs

- NEELOGY : capteurs à effet Néel

- NEXANS : câblages spéciaux

- MORSE : compteurs d’énergie

- LIEBHERR : pompe à chaleur

- SAFT : batteries

HUTCHINSON : composites, super-isolants, isolants acoustiques

Un train nécessitant moins de maintenance

(incl. CBM)- HONEYWELL :

capteurs- SLPV : revêtements

spéciaux (anti graffitis/glace)

- ARVENI : capteurs piezzo- électriques

Un train qui adresse de nouvelles mobilités

- IBM : Smart Cities- OLEDCOMM : Lifi- ACTIA : Pacis- Acteurs des

télécom : 4G

SAINT-GOBAIN : vitrages légers, isolations thermiques/acoustiques

IRT SYSTEM X

SYSTEMATIC

ITE SUPERGRID

IFSTTAR

CERTESENS

UNIVERSITE DE NANCY (CRAN)

I-TRANS

UTC CompiègnePONTS ET CHAUSSEES

UNIVERSITE DE VALENCIENNES

Railenium

FOR INFORMATION



Co-dev: Players

One single process for all type of Co-dev

PlatformMarketing

External Funding

Accountable: Sourcing

P&S

Legal SCG

CMSourcing

Legal IP

ENG



Co-dev: Roles and Responsibilities (RACI).

Function Role RACI

Marketing (Platform)

Support Sourcing CM to validate the Business Case. CENG (R&D or project)

A technical engineer is responsible of the Technical specification, execution and deliverables.Manages the Design & validation phases of the Co-Dev.

RSourcing CM Manages the overall Business with the suppliers.

Manages the Business Case with Marketing dpt (market vision).Manages the Supplier Rating matrix and the Co-dev matrix selection.Give the GO for signature to the SCG VP;

R

Sourcing P&S Coordinates and boost the process within the SCG community.Be the Sourcing voice into ATSA innovation Board.Is responsible for the overall SCG strategy of the Co-dev and co-innovation.Act as a trouble shooter.

A

External Funding

Validates external funding request documents; CLegal IP Centralizes Transport Partnerships Disclosure and Contracts (IP

Strategy tool)Is responsible for the overall IP strategy of the Co-dev.Defines, implements & negotiates the IP Strategy.Co-Elaborates with SCG & Validates the Contract before signature.

C/R

Legal SCG Co-Elaborates with SCG & Validates the Contract before signature C

Platform Mgt Will always be informed during the process. I



Co-dev: Roles and Responsibilities.

Transport Ext Funding and Co-Dev Signature Authorities:

• NDA : CM

• External Funding Convention (Responsible : D. Cadet ):

ATSA: Managing Director France (J. Wallut)

Ou (tbd)

ATT: ATT President (P. Le Goff)

• Co-dev Signature (Responsible : G. Chrétien) : ATSA:

• Engineering VP (P. Gosset)• SCG VP (O. Baril)

ATT:• IP Dir (G. Chrétien)



Partnerships: Global Process - Operational Level

Legal IP:

Innovation & patents

Pilot: • Expresses wish to open Co-

dev• Disclose the Co-dev with the

name of each player: sourcing, technical and Pilot.

SCG P&S : • Validates budget business

case and Co-dev Strategy with CM & ENG

Legal IP: • Defines & make evolve the

IP Strategy.• Co-elaborates the Contract

until signature.• Requests support to actors

as appropriate.• Capture, evaluation &

protect Innovation

SCG & Legal IP: • Manage after

Co-dev Contract

Sourcing P&S DirectorCM & ENG SCG P&S CM & ENG Legal IP & CM CM & Legal IP



Co-Dev Metrics & KPIs

Items Co-dev Metrics Terms

ASIP _ INNOV Measure Validated ideasRTBS ideasSecured ideas

monthly

Innovation Number of ideas per months @ Sourcing Innovation CommitteeMake it happenedMeasure the Open into ASIP

monthly

www.alstom.com



« IPD-WMS-001 Instruction for Intellectual Property Strategy Definition in Technical Partnerships” :

AT R&D CollaborationDefinition :Common development between Alstom and at least one third Party (which could be/include an Alstom Supplier) in a way to develop a generic technology, product or solution or to create a new technology or product and may include an exploration phase to determine the viability of the product, technology, method, design or manufacturing, with joint investment and collaborative process.Collaboration Contracts are upstream in the R&D process and will expect partners best efforts to reach agreed upon targets AT Supplier Co-developmentDefinition : Common development between Alstom and a Supplier of Alstom in a way to develop a specific technology, product or solution, requiring significant integration into Alstom product or solution, with cost objectives, joint investment and collaborative process.Co-Development Contracts are downstream in the R&D process and will expect partners’ commitments on agreed upon targets.

Collaborative innovation: what does it mean?



IP strategy guidelines:

Propriété Intellectuelle:1. Apports du background de la PME/Start-up et du

background du partenaire industriel/grand groupe2. Apports financiers du partenaire industriel/grand

groupe et dans une moindre mesure de la PME/Start-up grâce à des financements publics, européens (types OSEO, H2020…) ou fonds privés

3. Partage de la PI issue de la collaboration (répartition à déterminer)

4. Copropriété sur les brevets à parts égales (ou en fonction de l’apport respectif de chacune des parties : humain, matériel, financier) (à déterminer)

5. Frais de dépôt de brevets et gestion des brevets (partage des frais ou prise en charge intégrale par le partenaire industriel/grand groupe ?) (à discuter).

6. Frais de procédure en cas d’action en contrefaçon ou tout autre litige (partage des frais ou prise en charge intégrale par le partenaire industriel/ grand groupe ?) (à discuter)



IP Strategy guidelines: Right to exploit industrially and commercially ?

Exploitation:Si les deux parties exploitent => droit d’exploitation gratuit ou pas pour chacune des parties dans leur Domaine respectif défini préalablement (ex: accord sur une zone geographique pour une application donnée)

Si seul le partenaire industriel/grand groupe exploite la technologie : paiement de redevances à la PME/ Start-up à un taux fixé entre les parties ab initio ou au moins une fourchette de taux (à discuter avec le partenaire)

Si seule la PME/Start-up exploite la technologie : paiement de redevances au partenaire industriel/grand groupe à un taux fixé entre les parties ab initio ou au moins une fourchette de taux (à discuter + partenaire)

Captive Market : « No Direct Sales allowed from Vendors to our Direct Customers »Agility: Be the first to take advantage of new technologies & royalties



Co-dev Process

All SS & Domains: Interiors, Doors Brakes Pwr Pack Metallic Traction Bogies Supplier Partners: in-out Panel suppliers, …Scope

Co-dev of a new technical solution Share NCR, low TTM

Co-dev for implementation of an existing technical solution where ATSA wishes to protect a competitive advantage.

Technical study.

R&D Collaboration with Universities/ Labos, Cie, …

Sourcing of an equipment or Technology or License

Sourcing of any service without need of competitive advantage being formalized.

What is in (gain of a competitive advantage) What is out

Focus on laying down the good base for efficient implementation.

co-dev process-communication guide-eng-v0.pptx

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