CO DEV Communication Guide

Co-Dev & Co-innovation
Communication Guide for Sourcing

C. VAYSSE - G. CHRETIEN N. MICHEL
21/07/2014
INNOVATIO
N
EVEREST
TABLE OF CONTENTS
Why this guide ?

Collaborative innovation: what does it mean?
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.
Why this guide ?

The current Business Model based
on a pure competitivity must be
adapted to the Growth Business
Model based on co-innovation.
Win-win attitude is key!
Indeed, small players may be
afraid with ATSA approach. The
working relationship between the
supplier and us must be wellbalanced.
The co-innovation environment is
complex and tripartite (the
supplier, the internal engineering
and the sourcing ). Tree different
mtier sensibilities must be
taken into account to lead the
Customer-supplier
relationship.
Innovation Alstom Transport at a glance
IDEAS Generation
Product R&D
ATSA R&D Budget

<200M / y.
130 ideas / y.
Sharepoint
80% Sourcing players
R&D Collaboration integrating

at least 1 Supplier / year
18 collaboration / year
Total of 120 projects

Projects
ATSA NRC
10% of 3,2 B /year
NRC<300M
Supplier Co-Dev / year

< 8 / year
Few Sourcing players
AT R&D Budget vs. Co-innovation
Total Sourcing costs

(NRC (one off),
Material,
subcontracting)
R&D Collaboration
integrating
at least 1 Supplier
(49)
(37)
18 co-inno @
total 10 M
Only 10/49M with Co-Dev contracts in place!

Why this guide ?
Examples of co-Dev

DMU Lint story ATSA vs. PESA
Benchmark
ALSTOM LINT vs. PESA LINK

Lint story ATSA vs. PESA :
Within the last Tenders, we have seen that our main competitor is PESA
with the product LINK.
The product name LINK is very similar to LINT, and also the product
concept is similar to LINT
PESA is using on several components the same suppliers as Alstom refer
to matrix
PESA has offered its product much cheaper than Alstom (eventually
dumping/entry price)
PESA has won the 1st contract within Germany (12 TS for Regentalbahn)
Within Tender DMU Frame, PESA offered up to approx. 20% cheaper than
Alstom (precise feedback awaiting from Costing)
Due to the fact that PESA is using the same suppliers, we should analyze
our competitive advantage versus PESA (better prices,...).
Where does the supplier produces their equipment?
Is the supplier offering exactly the same equipment to PESA as supplied to
Alstom
?
PESA LINK
References:
=> 31 Trainsets for Ceske Drahy (2 car
version)
=> 12 Trainsets for Regentalbahn (2 car
version)

PESA LINK Ceske Drahy

PESA LINK Ceske Drahy

Main Suppliers on LINT & LINK

LINT vs. LINK conclusion
evel:
n Suppliers representing 50% of the TS cost.
total NRC costs (DNK) leads to 2,7 M during 3y. dvt. >2011
wer Pack level

ower Pack integrates new improvement (gearbox Ecolife ZF) : low fuel consumption
Power Pack Stage3b NRC costs leads to 400K during 3y. dvt. + 1,5M of Train validation cost
-dev contracts ATSAs IP (exclusivity or royalties).
e pain for ATSA:

e DMUs market price is getting down!
w players are coming faster on the market with robust & validated solutions, in particular the traction s
Co-Dev contracts constitute a way to create barriers of

protection.
Customer contractual constraints / Maintenance
Few example of customer contract
T7 T8 de la RATP
Dans larticle 18.2 Dure de fourniture des pices de rechange le Titulaire garantit que ses
fournisseurs ne sont pas lis par un contrat dexclusivit et quil sera donc possible pour la
RATP de sapprovisionner directement la source du Titulaire
Aubagne
Dans larticle 9.10 Pices de rechange Pour les pices hors fournitures exclusives du Titulaire,
celui-ci garantit que ses fournisseurs ne sont pas lis par un contrat dexclusivit et quil
sera possible au Matre dOuvrage, au terme du prsent march, de sapprovisionner
directement chez ces fournisseurs
TTNG
Voir CCCG applicable article 45 PROVENANCE DES PIECES ET DES SOUS-ENSEMBLES - 45.2 - La SNCF a le
droit de commander des pices et organes de rechange tout fournisseur de son choix, sous rserve
des stipulations des articles 27 (Confidentialit) et 29 (Proprit Intellectuelle).
Voir CCCG applicable article 45 PROVENANCE DES PIECES ET DES SOUS-ENSEMBLES - 45.1 La SNCF doit
recevoir la liste des couples produits fournisseurs et si non pnalit.
Voir CCCG applicable article 27 CONFIDENTIALITE et 29 PROPRIETE INTELLECTUELLE DES RESULTATS (notre
contrat est sous rgime 29.B de droits partags entre les parties) et notamment: Le droit de
reproduire ne porte pas sur les dispositifs, objets ou matriels qui, inclus dans le prototype, ou
mentionns sur les dessins ou les plans, n'ont pas t tudis au titre du march, ou pour lesquels le
Titulaire a law
fait connatre
possdait pasto
le droit
de librethe
disposition.
European
says itqu'il
is ne
forbidden
restrict
access to our supplier to
the final customer.
Co-Dev contracts constitute a way to create barriers of

protection.
Why this guide ?
Examples of co-Dev

Co-Dev Success stories AGV Seats
- Results:
The results
developed and obtained by the Supplier during the performance of

this co-dev (Project Purchase Agreement and/or Orders) shall become the
exclusive property of the Purchaser as and when they are developed.
- Business exclusivity :
5years dual exclusivity
- Royalties:
Before any Direct Sales or repair of Spare Parts or Equipment to any Third Party and assigned to
the Project Train maintenance, the Supplier shall obtain a prior and written authorization from
the Purchaser.
In such case, the Supplier shall pay to the Purchaser an amount equal
to fifth teen per cent (15%)
of payment received for the Spare Parts or Equipment

sold
to Third
Party,
Presentation
title - 5/19/16
P 16 if not mutually agreed otherwise between the Parties.
Co-Dev Success stories Lint MRP Brakes
- Results:
AT and KES will the co-owner of the solution (50/50).
Technical gap between the supplier product and AT Lint
- Business exclusivity :
5years dual exclusivity
- Royalties:
KES shall pay to the Purchaser an amount equal to fifth teen per cent
(15%) of payment received for the Spare Parts or Equipment sold to Third Party, if not mutually agreed
otherwise between the Parties.

Traction R&D overview

Co-Dev
Suppliers
Final
Customer
R or D?
ToT?
Timing
Investment
Free For Tender
IP
Conclusion
FlyWheel
Williams
none
From
2007
1M
No (<1y.)
Type Test
Validation
No customer partnership
Technology competition
Decreasing R&D Budget
2007 to
2010
1M5
n/a
Not a product
Ecopack
Successful :
Lead to demonstrate the energy
saving during commercial service
From
2007
1M
Yes
Yes
Copatent
Exclu
Royaties
No HV competence @ Moors low TTM
From
2007
1M
Yes
-RRX
Yes
Copatent
Exclu
Royaties
Successful :
Green cooling system
-20%TCO
TTM: 7y. / Customer needs?
2011
(loco)
50K
Indoor: YES
No
Outdoor: validation
(Lessiviel
products)
Tbd for
outdoor
Successful :
Loco saving: 4M
ToT:
(indus
with AUDI)
STEEM
Batscap
(SC)
RATP
(demo
Techno)
Adetel
(final module)
ENERGY
METER
Moors
(Tramway)
none
D
(indus)
CPL
CALYOS
none
R
(ToT:
spatial)
Magnelis
Arcelor
Mittal
Tram
Dublin
R (demo
Techno)
ToT from
Infrastruc
ture

MoB decision: Ecometer@Microelectrica
AT Commercial strategy (2013 SNCF RFQ)

IP mgt: exclu <5y.
Outdoor validation very challenging
TABLE OF CONTENTS

Co-innovation & Co-Dev

The railway industry is a high added value domain on which
innovation is key.
In terms of innovation, the supplier partnership is
determinant to :
Reduce the Time To Market
Avoid the unnecessary internal R&D if the solution exists
already
Share the R&D cost with our partners
Protect ATSA and the partners IP.
Insert new solutions in our tenders to be attractive vs.
competitors (differentiation, exclusivity)
Increase AT fees @ TCO level (captive parts)
Dealing with co-innovation aims to reinforce and consolidate
our relationship with panel and non-panel suppliers.
Sourcing effort leads to:
Internally collaborate with the ENG people and Product
Co-Dev & Co-innovation @ ATSA today

ONLY 8 Co-Dev / year: VERY LOW see slide#
Todays Sourcing WoW:
- NDA signature + PO @ site level.
The innovation result is captured only by the supplier
Our competitors benefits of our sucess (eg: Lint PESA)
Co-Dev :
- Some R&D pgms (SCPT: new Traction chain; e-Transfo; CVS ATAC
(SiC et Transfo MF) of millions of Euro were launched without
adapted contractual frame;
Opportunities:
Pay attention to the importance of the co-DEV process
Limitate the current Sourcing WoW and initiate the co-dev
process: (see Projects execution)
Go RFQ projects phase: Full Speed!

Project Name
Metro Ryad
TSL / PSL
FRANCO Amilcar
Contract Mgr
Christophe Lacoste
Smart Metro
Philippe Lambert
Stefan Aulon
Legal Mgr
NRC amount
5M
Comments
R&D (projet Ryad)
Metro de Londres
Zoe Zhu
(3rail - less)
NSR
Stephan Kuehn
RRX
Holger Damm
Ottawa (Citadis
Spirit)
Philippe CARLIER et
Rmi Alapetite
SCM SLZ TBA (Isis

Piponnier acting)
SCM SLZ TBA (Isis
Piponnier acting)
Anne Dye (Contract
Mgr)
Citadis X05
Emilie Feuillat
Delphine Boulogne
Metro Lille
Olivier Lepetz
Stefan Aulon
3UFC
Christophe Beauvilain
RER NG
Benjamin Mortier
Stefan Aulon
MP14
Beatrice Dubois
Stefan Aulon
PRASA
Bruno Florence
SCM SLZ TBA (Isis

Piponnier acting)
SCM SLZ TBA (Isis
Piponnier acting)
Anne Deshaye
5M
BAFO
5M
BAFO / focus T&C

Customer + JV Skoda
5M
GO ORDER
Delphine Boulogne
JOUVE Agnes
tender (BAFO Juillet)

11M
Deep dive on the Co-Dev opportunity thanks to the PSL &

Contract Mgr
Source: 2012 INPI - Innovation collaborative et proprit intellectuelle
Collaborative Innovation aims to develop the innovation thanks the

partnership
and not only the internal R&D contribution.
Collaborative innovation: what does it mean


Linnovation collaborative : un terme, plusieurs ralits

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
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)

Captive
Market: No Direct Sales allowed from Vendors to our
Direct Customers
IP Strategy guidelines: Right to exploit industrially and

commercially ?


commercially ?


commercially ?

The Commodity Manager is a Business developer
In R&D mode:
ATSA Co-innovation:
win/win pour AT and the partner
Early stage discussion with the partner
Sourcing strategy - Business development
In Project mode :
ATSA Co-Dev:
1 of NRC spend: for which reason?
How to protect AT from their competitors, their markets?
TCO: How to get some profits @ 40years? Captive market
Improve sustainable sourcing (ecovadis)

TABLE OF CONTENTS
CVA Technology Road-Map

Be differencing through innovation is a must

for Alstom
Alstom Key
questions
Capture
Internal Innovation Needs @ PL level, what are the main drivers (Techno Road-map
A
Benchmark
B
/ investigate other sectors technology to anticipate needs. ( State of the Art), Market an
C
Challenge / reinforce our partnership with strategic suppliers ? (LP innovation?)
Market & Supplier mapping
Confidential
F
Identify
& Collect Market /Supplier Innovation ideas /roadmap
Facilitate
the co-development approach/process (win/win approach)
D
ECollaborate at very early stage on the supplier Techno Road-Map (Bottom -up approach)
Training on Commodity Strategy 2013 - P 34
CONFIDENTIAL
Understanding of Platform / Product / business needs & strategies is key

to know what will be the future requirements/ tendency how will have an
impact on your panel /commodity strategy
Needs assessment
What are current product
Platform needs ? Versus customers,
market , competitors ?
Identify main Key techno
levers
Establish the state of the Art
of present and future
Product
techno.
What about the QCD
impact?
Technology
Benchmark
What
is the Supplier
Analysis? strategy at train
Competitor
level?
Business
Supplier strategy & market
(competitors / sector)
share?
(Supplier Market Intelligence)
IMPACT
PANEL
What
is the new Technology
impact on the current panel
versus existing supplier
capabilities ?
Are they able to answer to our
concern, do they have the right
know how ?
Are they already working on in
their innovation roadmap ?
Do I have the right relationship
Confidential
to secure proper cooperation

(opportunistic vs collaborative ?)
with my suppliers
This innovation need is an

opportunity or a risk for my
Panel stability ?
What about market benchmark
and alternative suppliers .
CONFIDENTIAL
How will evolve the needs
Strategy
mid/long
regarding the
commodity?term
Is there any potential impact
on my segmentation, Risk
analysis ?
What about current strategic
levers used ? Are they still
adapted ?
What about make or buy
approach along supply chain
(function to system)
What is the potential impact
on my current strategic
positioning ? Risk to increase
the risk ? Be nice ?
What will be the IP strategy to
protect ATSA & facilitate
collaboration with suppliers ?.
Mandatory slide ( New)
Alstom Innovation strategy Challenges
Climate change Congestion
Aging Society
Oil scarcity &

Energy reduction
Confidential
Urbanization &
IndividualizationPopulation Growth
Increasing Norms &

Regulations
CONFIDENTIAL
Be connected
7 axes of innovation and a

transverse one
A- More energy efficient railway systems
B- An advanced maintenance
C- Improve railway system sustainability and footprint

D- New mobilitiesConfidential
Data manag
E- More fluid design cycles for performances, cost saving and time
to market
F- Take advantage of the evolution of technologies in telecom

& digitalization
G- Take advantage of the evolution of technologies in
automation
CONFIDENTIAL
Innovation key drivers have to be defined by

axis
See the AT Techno Road-Map to identify potential
innovative drivers.
Select and prioritize in the XL file.
Potential Innovation
Axes
drivers
Customer Priority
(High ,Medium , Low)
AEnergy
BL
Maintainabili
ty
D
New
mobility
Confidential
F- Take
advantage
of the
evolution
of
technologi
es in
telecom &
digitalizati
on
CONFIDENTIAL
Mandatory slide (New)
Innovation key drivers have to be defined eg. EXAMPLE

glazing
See the AT Techno Road-Map to identify potential
innovative drivers.
Select and prioritize in the XL file.
Potential Innovation
Axes
drivers
A-
1.2.1. Reduce RS mass: Introduce ultra light material
Customer Priority
(DRL)
(High ,Medium , Low)
H
Energy
BMaintainabili 2. Facilitate the window assembly
ty
4.2. Improve the confidentiality areas and the passenger experience

D
Confidential
New
mobility
F- Take
advantage
of the
evolution
of
technologi
es in
telecom &
digitalizati
on
H
L
6. Inform passenger (infotainment)
6.5 Connect object through the windows
CONFIDENTIAL
Focus on the Innovation drivers to differentiate

our offer
according to the priority defined previously
Innovation drivers
A-
Sub-Systems / components
impact
Innovation
Benefits
Current / tomorrow
Pathway
Challenge / TRL#
Energy
BMaintainabili
B- Maintenance
ty
D
New
mobility
F- Take
advantage of
the evolution
of
technologies
in telecom &
digitalization
Witch part of the

Sub-System or
component will be
affected?
-
New process or
new Technology
(disruptive or
rupture) will
occur?
Confidential
- Techno road-map?
CONFIDENTIAL
Mandatory slide ( New)
EXAMPLE
Focus on the Innovation drivers to differentiate our
offer
according to the priority defined previously
Innovation drivers
A-
Sub-Systems / components
impact
Energy
BMaintainabili
B- Maintenance
ty
D
New
mobility
Smart
Witch part of the

windows:or
Sub-System
variable will be
component
opacity
affected?
-
New process or
Ultra-light
new
echnology
glass: or
(disruptive
rupture) will
occur?
F- Take
advantage of
the evolution
of
technologies
in telecom &
digitalization
- Techno road-map?
Window
Car-Body
assembly:
Innovation
Opportunity to
reduce our
HVAC
consumptions
and improve
passenger
experience
Benefits
Current / tomorrow
New SPD
Technology to
improve the
passenger and
driver
experience
Current glass
Reduce Confidential
the
from 3mm to
windows
1,6 or 2,1
weight of
mm
40% up to
800kg/TS
VERI
5h vs. 15mn
System
Bended vs.
GLASS
straight
GLUED on
geometry
Carbody
GLASS
5h vs. 15mn
SCREWED
CONFIDENTIAL
Pathway
Challenge / TRL#
Co-dev
between
Vision
Systems &
StGobain &
ATSA
Market price
Customer /
Affair
TRL8
Co-dev
between ATSA
& StGobain
Customer /
Affair
TRL8
Co-dev
between ATSA
& StGobain
Benchmark
at Translohr
Co-dev
between ATSA
& StGobain
Customer /
Affair
TRL8
Customer /
Affair
TRL9
Techno not
mature
(TRL6)
Product Sheet:
PRINCIPLE
Describe main principle and expected

benefits..
Picture
Confidential
STATUS OF OUR INVESTIGATIONS
Key statements
CONFIDENTIAL
QCD aspects
Optionnal ( New)
Product Sheet:
GLASS
HEATING
EXAMPLE
PRINCIPLE
To heat throught a film the space between the 2
layers of a double glass unit.
To have a coating to limit as much as possible
the heat losses outside the trains.
Main advantage:
Passenger experience: To improve comfort by
removing the
cold felt by passengers
near the
Confidential
windows
STATUS OF OUR INVESTIGATIONS
Saint Gobain has delivered a prototype

based on a 3UFC Windows
HVACs consumptions reduction

compensates the powers
consumption to heat the glass
A first study has been performed on Avelia

(VHST Double Deck) including the
potential saving for HVAC consumption.
Extra cost of 55 k per TS (based on

RGV)
Next step: To define a Target Cost

(How much an operator can value this
CONFIDENTIALoption on its price ticket for 1st class for
Choice of future contract with the degree of maturity of the

technology (TRL)
The intellectual property rights resulting from a research collaboration may vary
depending on:
1. The respective contributions of each party (human, material, financial etc.)
2. The technology maturity level provided by the supplier
3. The degree of maturity reached by the demand of the market.
To select the type of contract to put up with the start-up or supplier, large group may
rely on a measurement system with two inputs:
1st level:
Confidential
TRL measurement system (technology readiness level) for assessing the maturity of a
technology (components, materials, devices etc.) before integrating into a system or
subsystem.
It is noteworthy that up to a certain level of TRL scale (level 6/7), the French Research
Tax Credit (CIR) is applicable.
Thus, a low TRL correspond more to a cooperation agreement and a high TRL to a codevelopment agreement
2nd level:
DRL (Demand Readiness Level) that assesses the degree of maturity reached by
consumer demand of the market.
CONFIDENTIAL
DRL vs. TRL
Confidential
CONFIDENTIAL
DRL vs. TRL

Demand Readiness Level
Level
Description
Sensation or feeling of a lack
Actual system proven through successful

mission operations.
Identifying a specific need
Actual system completed and qualified through

test and demonstration.
Identification of expected features of the new product

or service
System prototype demonstration in an

operational environment.
Qualification of expected features
System/subsystem model or prototype

demonstration in a relevant environment
Identification of systemic skills (including project

management)
Component and/or breadboard validation in

relevant environment
Getting adequacy of expected functionalities with the

skills needed to build the answer
Component and/or breadboard validation in

laboratory environment
Definition of skills and resources needed
Analytical and experimental critical function

and/or characteristic proof of concept
Identification of experts with relevant skills
Technology concept and/or application

formulated
Construction of the response to the need expressed by

the market
Basic principles observed and reported
Confidential
Level
Description
Technnology Readiness Level

CONFIDENTIAL
TABLE OF CONTENTS
Co-Dev Process definition 4 steps:

Process definition Co-dev: 4 steps

#1: Characterization 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 48
suppliers and invite them to share

with appropriate ATSA actors.
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

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

Feuille de calcul
Microsoft Excel
#1
Caracterisation
of the need
#2
Supplier
selection
Contract
Negotiation
Contract
Execution
#3: CONTRACT NEGOTIATION

CONTRACT NEGOTIATION
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
#3: CONTRACT NEGOTIATION 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 / ...
#3: CONTRACT NEGOTIATION
#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
of co-dev
Developed jointly by the parties within the framework of the
#3: CONTRACT NEGOTIATION 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.

#3: CONTRACT NEGOTIATION IP Matrix Result

IP Matrix Result
#1
Caracterisation
of the need
#2
Supplier
selection
#3
Contract
Negotiation
Contract
Execution

#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
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 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 59
Eventually
support the supplier initiative in terms of resources, technical or financial aids.
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
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

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)
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)

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

Co-Dev Metrics & KPIs

Items
Co-dev Metrics
Terms
Contract
execution /
Exclusivity
#Co-Dev contracts with exclusivity vs #Total

projects@NRC>100K
monthly
Contract
Execution
/royalties
#Co-Dev contracts with royalties vs #Total

projects@NRC>100K
monthly
Innovation
Number of ideas per months @ Sourcing

Innovation Committee
Make it happened
monthly
R&D 2015
#Co-Dev contracts / #Total

Projects@NRC>100K
yearly

Co-Dev Action plan
Guide communication validation by oB
CM Training (2 sessions) from Sept,12th 2014
SMART RM modification
Identify GO-RFQ projects with NRC (Ryad, Smart Metro, NSR etc)
Select the potential co-dev within the GO-RFQ projects (each CM)
- Launch the co-dev process accordingly with CM

www.alstom.com

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.

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.

Co-Dev Success stories AGV Seats - 1/2
Fourniture des Siges Passagers par SupplierC
Si les Rsultats communs sont valids par ALSTOM selon l'Annexe 2, et sous rserve de la
capacit d'industrialisation des Siges Passagers par SupplierC, ALSTOM sengage
s'approvisionner en Siges Passagers, soit directement, soit indirectement par lintermdiaire de
ses fournisseurs auprs de SupplierC ou de son licenci, en Siges Passagers issus du
Programme et SupplierC ou son licenci s'engage fournir
exclusivement
ALSTOM
en Siges Passagers issus du Programme destins tre utiliss dans le

Domaine dExploitation ferroviaire pendant cinq (5) ans pour une quantit de 25 000
Places (sous rserve de l'obtention de contrats correspondants avec des clients finaux).
EXPLOITATION COMMERCIALE DES RSULTATS TECHNIQUES
Exploitation des Rsultats Techniques
Domaine dExploitation Ferroviaire
On entend par domaine dexploitation ferroviaire (ci-aprs dsign le

DomainedExploitation Ferroviaire ), lensemble des activits industrielles relatives
au dveloppement, lingnierie, la fabrication, linstallation, la mise en service,
la maintenance et la commercialisation de Siges Passagers pour espaces
voyageurs de vhicules de transport de passagers, lesdits vhicules tant du type
vhicules ferroviaires (trains, tramways, rgional ou mtros roues mtal guids par
rail
mtal)
ou guids (matriels sur pneus) ou trolley (trolleys bus roues mtal
Presentation title
- 5/19/16
P 70
guides par rail ou autonomes sur pneus).
Co-Dev Success stories AGV Seats - 2/2

Exploitation par les Parties dans le Domaine dExploitation ferroviaire
ALSTOM (et les Socits du Groupe ALSTOM) est seule libre dutiliser et dexploiter, directement ou indirectement,
dans le monde entier, avec droit de sous licencier, lensemble des Rsultats Techniques et des droits de proprit
intellectuelle y relatifs dans le Domaine dExploitation Ferroviaire.
ALSTOM sera en droit de fabriquer ou faire fabriquer les Siges Passagers, objets des Rsultats Techniques.
SupplierC concde une licence, gratuite, mondiale, irrvocable et transfrable, ALSTOM (et aux
Socits du Groupe ALSTOM) portant, notamment, sur:
l'utilisation, la fabrication et l'exploitation, des Rsultats Techniques et des droits de proprit intellectuelle associs,
ainsi que sur un libre accs aux tudes et outillages dvelopps dans le cadre de cette Convention et une libre
utilisation desdites tudes et desdits outillages.
SupplierC pourra demander utiliser et exploiter tout ou partie des Rsultats Techniques et des droits de proprit
intellectuelle et/ou des outillages y relatifs sous rserve d'une licence accorde par ALSTOM.
ALSTOM s'engage examiner toute demande de SupplierC. Dans le cas o ALSTOM accorderait une licence,
les conditions de cette licence seront dfinir entre les Parties. D'ores et dj les Parties se sont
entendues sur le montant de la redevance qui sera tablie entre 25 et 50 par places dfinir au
cas par cas et rvisable selon les ventuelles conditions tarifaires applicables au titre du contrat
cadre.
En tout tat de cause, SupplierC devra obtenir l'autorisation pralable et crite d'ALSTOM pour toute utilisation
et/ou exploitation de tout ou partie des Rsultats Techniques et des droits de proprit intellectuelle associs.
ALSTOM s'engage rpondre cette demande dans les trente (30) jours ouvrs de la demande de SupplierC sous
rserve de l'accord mutuel des Parties sur les conditions de la licence qui sera accorde par ALSTOM. Toute
demande de ce type devra, pour tre recevable, rappeler les rgles convenues, prciser son objet (client, quantits,
type de matriel, dure, ) et inclure une copie de la prsente convention.
Exploitation par les Parties hors du Domaine dExploitation Ferroviaire
ALSTOM (et les socits du Groupe ALSTOM) est seule libre dutiliser et dexploiter, dans le monde entier, avec droit
de sous licencier, lensemble des Rsultats Techniques et des droits de proprit intellectuelle et des outillages y
relatifs hors du Domaine dExploitation Ferroviaire.
without notice. Reproduction, use or disclosure to third parties, without express written authority, is strictly prohibited.
liability and is subject to change
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5 years Dual exclusivity AT/Supplier:



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Co-Dev & Co-innovation

Communication Guide for Sourcing

Why this guide ?

Presentation title - 5/19/16 P 2

Why this guide ?

Innovation Alstom Transport at a glance

ATSA R&D Budget

R&D Collaboration integrating

Presentation title - 5/19/16 P 4

Supplier Co-Dev / year

AT R&D Budget vs. Co-innovation

Total Sourcing costs

Only 10/49M with Co-Dev contracts in place!

Why this guide ?

Presentation title - 5/19/16 P 6

DMU Lint story ATSA vs. PESA

ALSTOM LINT vs. PESA LINK

Presentation title - 5/19/16 P 7

Lint story ATSA vs. PESA :

Presentation title - 5/19/16 P 9

PESA LINK Ceske Drahy

Presentation title - 5/19/16 P 10

PESA LINK Ceske Drahy

Presentation title - 5/19/16 P 11

Main Suppliers on LINT & LINK

Presentation title - 5/19/16 P 12

LINT vs. LINK conclusion

wer Pack level

-dev contracts ATSAs IP (exclusivity or royalties).

e pain for ATSA:

Co-Dev contracts constitute a way to create barriers of

Customer contractual constraints / Maintenance

Few example of customer contract

the final customer.

Co-Dev contracts constitute a way to create barriers of

Why this guide ?

Presentation title - 5/19/16 P 15

Co-Dev Success stories AGV Seats

developed and obtained by the Supplier during the performance of

to fifth teen per cent (15%)

of payment received for the Spare Parts or Equipment

Co-Dev Success stories Lint MRP Brakes

Presentation title - 5/19/16 P 17

Traction R&D overview

Free For Tender

No HV competence @ Moors low TTM

Presentation title - 5/19/16 P 18

MoB decision: Ecometer@Microelectrica

AT Commercial strategy (2013 SNCF RFQ)

Outdoor validation very challenging

Collaborative innovation: what does it mean?

Presentation title - 5/19/16 P 19

Co-innovation & Co-Dev

Internally collaborate with the ENG people and Product

Co-Dev & Co-innovation @ ATSA today

Go RFQ projects phase: Full Speed!

SCM SLZ TBA (Isis

SCM SLZ TBA (Isis

BAFO / focus T&C

tender (BAFO Juillet)

Deep dive on the Co-Dev opportunity thanks to the PSL &

Collaborative innovation: what does it mean?

Source: 2012 INPI - Innovation collaborative et proprit intellectuelle