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Co-Dev & Co-innovation Process

Communication Guide for Sourcing


C. VAYSSE - G. CHRETIEN N. MICHEL

21/07/2014

TABLE OF CONTENTS

Co-Dev Process definition 4 steps:


Co-dev governance & KPIs

Presentation title - 5/19/16 P 2


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.

TABLE OF CONTENTS

Co-Dev Process definition 4 steps:

Presentation title - 5/19/16 P 3


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.

Process definition Co-dev: 4 steps


#1: Caracterisation of the need
#1
Caracterisation
of the need

Selection
Supplier

Collaboration

Collaboration

PUSH

PULL

To Supplier
Partners

From Supplier
Partners

Inform

Launching specific competencies calls :

The suppliers of the middle terms


opportunities, the innovation thematics and
our market perception.

Pacte fournisseurs (Portals), the Ples de


Comptitivit (i-Trans, SYSTEMATIC )

Organize :
Facilitate
Contract
Negotiation

Contract
Execution

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
Presentation title -Innovative
5/19/16 P 4

suppliers and invite them to share


with appropriate ATSA actors.

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.

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 nonpanel (ad-hoc) suppliers and to stream the
demands.

#2: SUPPLIER SELECTION

#1
Caracterisation
of the need

CM role
#2
Supplier
selection

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

Contract
Negotiation

He uses the 2 XL tools in relationship with the strategy


of the commodity

Contract
Execution

Presentation title - 5/19/16 P 5


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.

Mapping
Co-innov_co-Dev

#2: SUPPLIER SELECTION - Supplier Rating Matrix

#1
Caracterisation
of the need

#2
Supplier
selection

Contract
Negotiation

Supplier Mapping

Contract
Execution
Presentation title - 5/19/16 P 6
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.

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


Feuille de calcul
Microsoft Excel

#1
Caracterisation
of the need

#2
Supplier
selection

Contract
Negotiation

Contract
Execution
Presentation title - 5/19/16 P 7
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.

#3: CONTRACT NEGOCIATION


CONTRACT NEGOCIATION
Rules and clauses

#1
Caracterisation
of the need

#2
Supplier
selection

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
#3
Contract
Negotiation

Contract
Execution

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

Presentation title - 5/19/16 P 8

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.

#3: NEGOCIATION DU CONTRAT IP Check-list

#1
Caracterisation
of the need

#2
Supplier
selection

#3
Contract
Negotiation

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 ...

Contract
Execution

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 / ...

Presentation title - 5/19/16 P 9

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.

#3: NEGOCIATION DU CONTRAT

#1
Caracterisation
of the need

#2
Supplier
selection

#3
Contract
Negotiation

DEFINITION OF THE PRINCIPLES OF


INTELLECTUAL PROPERTY (Intellectual Property
Strategy)
IPD-WMS-001 - Instruction for
Intellectual Property Strategy Definition
in Technical Partnerships
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
Contract
Execution
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
Presentation title - 5/19/16 P 10
of co-dev
Developed jointly by the parties within the framework of the
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.

#3: NEGOCIATION DU CONTRAT IP Agreement


Agreement color

#1
Caracterisation
of the need

#2
Supplier
selection

#3
Contract
Negotiation

Contract
Execution

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.

Presentation title - 5/19/16 P 11


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.

#3: NEGOCIATION DU CONTRAT IP Matrix Result


IP Matrix Result
#1
Caracterisation
of the need

#2
Supplier
selection

#3
Contract
Negotiation

Contract
Execution

Presentation title - 5/19/16 P 12


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.

#4: CONTRAT EXECUTION - Support and Performance indicators


CONTRACT EXECUTION (QCD)

#1
Caracterisation
of the need

#2
Supplier
selection

#3
Contract
Negotiation

Contract
Execution

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 coinnovation results.
Post-contract management
Protection of IPRs by Results

Presentation title - 5/19/16 P 13

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.

TABLE OF CONTENTS

Co-Dev Governance:

Presentation title - 5/19/16 P 14


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.

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 ATSAs 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
Presentation
title - 5/19/16 P 15
Eventually
support the supplier initiative in terms of resources, technical or financial aids.
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.

Mapping de fournisseurs potentiellement innovants


Un train
ncessitant moins
de maintenance
(incl. CBM)

Un train
consommant moins
dnergie

Un train plus
capacitaire et
confortable

- ADETEL : convertisseurs
statiques
- BOLLORE : batteries
LMP
- CALYOS : Capillary
Pumped Loop (natural
cooling)
MERSEN : cercles de
CERTESENS
phase, busbar,
connexions de puissance
- NEXTER : SSPC,
convertisseurs
NEELOGY : supercapteurs
HUTCHINSON : composites,
effet
Nel
isolants, isolants acoustiques
- NEXANS : cblages
SAINT-GOBAIN : spciaux
vitrages lgers,
- MORSE : compteurs
isolations thermiques/acoustiques
dnergie
Railenium
- LIEBHERR : pompe
chaleur
ITE SUPERGRID
UTC Compigne
- SAFT
: batteries

- EADS (Astrium) :
pices en composite
(allgement)
- EXPLISEAT : siges
lgers

I
R
O
F

R
O
F
N

I-TRANS

UNIVERSITE
DE

Presentation title - 5/19/16 P 16

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.

N
IO

- HONEYWELL :
capteurs
- SLPV : revtements
spciaux (anti
graffitis/glace)
- ARVENI : capteurs
piezzo- lectriques

T
A
M
UNIVERSITE DE
NANCY (CRAN)

Un train qui
adresse de
nouvelles
mobilits
-

IBM : Smart Cities


OLEDCOMM : Lifi
ACTIA : Pacis
Acteurs des
tlcom : 4G

IRT SYSTEM X
SYSTEMATIC

IFSTTAR

PONTS ET CHAUSSEES

Co-dev: Players

Legal IP
External
Funding

Platform
Marketing
Accountable:

Sourcing
P&S

ENG

Legal SCG

CM
Sourcing

One single process for all type of Co-dev


Presentation title - 5/19/16 P 17
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.

Co-dev: Roles and Responsibilities (RACI).


Function

Role

Marketing

Support Sourcing CM to validate the Business Case.

A technical engineer is responsible of the Technical


specification, execution and deliverables.
Manages the Design & validation phases of the Co-Dev.

Sourcing 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;

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.

External
Funding

Validates external funding request documents;

Legal 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.

(Platform)

ENG (R&D or
project)

Presentation title - 5/19/16 P 18

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.

RAC
I

C/R

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. Chrtien) :
ATSA:
Engineering VP (P. Gosset)
SCG VP (O. Baril)
ATT:
IP Dir (G. Chrtien)

Presentation title - 5/19/16 P 19


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.

Partnerships: Global Process - Operational Level

Sourcing P&S Director


CM & ENG

Pilot:
Expresses wish to open Codev
Disclose the Co-dev with the
name
of
each
player:
sourcing, technical and Pilot.

SCG P&S

CM & ENG

SCG P&S :
Validates budget business
case and Co-dev Strategy with
CM & ENG

Legal IP & CM

Legal IP:
Defines & make evolve the
IP Strategy.
Co-elaborates the Contract
until signature.
Requests support to actors
as appropriate.
Capture,
evaluation
&
protect Innovation

CM & Legal IP

SCG & Legal IP:


Manage
after
Co-dev Contract

Legal IP:
Innovation
& patents

Presentation title - 5/19/16 P 20


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.

Co-Dev Metrics & KPIs


Items

Co-dev Metrics

Terms

ASIP _ INNOV

Measure Validated ideas


RTBS ideas
Secured ideas

monthly

Innovation

Number of ideas per months @ Sourcing


Innovation Committee
Make it happened
Measure the Open into ASIP

monthly

Presentation title - 5/19/16 P 21


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.

www.alstom.com

Collaborative innovation: what does it mean?


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

AT R&D Collaboration
Definition :
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-development
Definition :
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.

Presentation title - 5/19/16 P 23


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.

IP strategy guidelines:

Proprit Intellectuelle:
1. Apports du background de la PME/Start-up et du
background du partenaire industriel/grand groupe
2. Apports financiers du partenaire industriel/grand
groupe et dans une moindre mesure de la PME/Startup grce des financements publics, europens (types
OSEO, H2020) ou fonds privs
3. Partage de la PI issue de la collaboration (rpartition
dterminer)
4. Coproprit sur les brevets parts gales (ou en
fonction de lapport respectif de chacune des parties:
humain, matriel, financier) ( dterminer)
5. Frais de dpt de brevets et gestion des brevets
(partage des frais ou prise en charge intgrale par le
partenaire industriel/grand groupe?) ( discuter).
6. Frais de procdure en cas daction en contrefaon ou
tout autre litige (partage des frais ou prise en charge

Presentation title - 5/19/16 P 24

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.

IP Strategy guidelines:
Right to exploit industrially and commercially ?
Exploitation:
Si les deux parties exploitent=> droit dexploitation gratuit ou
pas pour chacune des parties dans leur Domaine respectif dfini
pralablement (ex: accord sur une zone geographique pour une
application donne)
Si seul le partenaire industriel/grand groupe exploite la
technologie: paiement de redevances la PME/ Start-up un
taux fix entre les parties ab initio ou au moins une fourchette de
taux ( discuter avec le partenaire)
Si seule la PME/Start-up exploite la technologie: paiement de
redevances au partenaire industriel/grand groupe un taux fix
entre les parties ab initio ou au moins une fourchette de taux (
discuter + partenaire)

Presentation title - 5/19/16 P 25


Captive
Market: No Direct Sales allowed from Vendors to our
Direct Customers
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.

Co-dev Process

Scope

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

What is in (gain of a competitive


advantage)
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.

What is out

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.

Focus on laying down the good base for efficient implementation.


Presentation title - 5/19/16 P 26
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.

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