This work examines the current, relevant and complex problem of how companies can take an intellectual property lead within research and development collaborations. Special emphasis is placed on the early phases of the innovation process and the service industry sector, in which intellectual property management is still a new phenomenon. The author derives archetypes for managing intellectual property in collaborations and analyses their strengths and weaknesses. The findings of the book are based on a series of interviews with companies in a variety of industries and regions, as well as on a detailed examination of the peer companies IBM, SAP, Swisscom and SwissRe. The author offers organizational and managerial recommendations based both on his extensive industry background and on scientifically induced hypotheses, and has thus written a book of interest to both scientists and practitioners.
Preface .........................................................................................................v
Acknowledgements.....................................................................................ix
Executive Summary..................................................................................xi
1. Introduction ..........................................................................................1
1.1 Increasing Competitiveness ............................................................1
1.2 Managing R&D Collaborations ...................................................... 3
1.2.1 Exceeding the Company Boundaries.................................... 3
1.2.2 Collaborative R&D...............................................................4
1.2.3 Set-up and Early Stage ......................................................... 7
1.3 Managing Intellectual Property....................................................... 9
1.3.1 Protecting Temporary Monopoly Profits.............................. 9
1.3.2 Generating Intellectual Property.........................................10
1.3.3 Enforcing Intellectual Property........................................... 13
1.4 Managing Intellectual Property in R&D Collaborations .............. 14
2. Literature Review...............................................................................17
2.1 Managing R&D Collaborations .................................................... 17
2.1.1 Formal R&D Collaborations............................................... 18
2.1.2 Early Stages of R&D Collaborations.................................. 19
2.1.3 Early Innovation Phase....................................................... 20
2.1.4 Previous Experience and Relational Trust.......................... 21
2.2 Managing Intellectual Property..................................................... 23
2.2.1 Strategy and Portfolio Management ................................... 24
2.2.2 Acquisition and Exploitation ..............................................25
2.2.3 Scanning and Monitoring ................................................... 26
2.2.4 Contingency Factors ...........................................................29
2.3 Managing Intellectual Property in R&D Collaborations .............. 37
2.3.1 Joint Intellectual Property...................................................37
2.3.2 Collaborative Standardization ............................................38
2.4 Research Gap ................................................................................39 3. Research Design..................................................................................42
3.1 Research Question ........................................................................42
3.2 Research Concept..........................................................................43
3.3 Research Methodology .................................................................44
3.4 Research Structure ........................................................................48
4. Case Studies in the Service Industry Sector.....................................49
4.1 Introduction to the Service Industry Sector and Case Selection ... 49
4.2 IBM...............................................................................................58
4.2.1 Research and Innovation..................................................... 58
4.2.2 Managing R&D Collaborations.......................................... 60
4.2.3 Managing Intellectual Property .......................................... 64
4.2.4 Managing Intellectual Property in R&D Collaborations .... 69
4.3 SAP ...............................................................................................74
4.3.1 Research and Innovation.....................................................75
4.3.2 Managing R&D Collaborations.......................................... 80
4.3.3 Managing Intellectual Property .......................................... 83
4.3.4 Managing Intellectual Property in R&D Collaborations .... 87
4.4 Swisscom ......................................................................................94
4.4.1 Research and Innovation.....................................................95
4.4.2 Managing R&D Collaborations.......................................... 98
4.4.3 Managing Intellectual Property .......................................... 99
4.4.4 Managing Intellectual Property in R&D Collaborations .. 103
4.5 Swiss Re......................................................................................108
4.5.1 Research and Innovation................................................... 108
4.5.2 Managing R&D Collaborations........................................ 109
4.5.3 Managing Intellectual Property ........................................ 110
4.5.4 Managing Intellectual Property in R&D Collaborations .. 120
5. Typology of Managing Intellectual Property ................................. 124
5.1 Cross Case Analysis.................................................................... 124
5.2 Extraction of Determinants .........................................................132
5.3 Assignment of Archetypes..........................................................135
5.3.1 Multiplicator .....................................................................136
5.3.2 Leverager ..........................................................................137
5.3.3 Absorber ...........................................................................139
5.3.4 Filtrator .............................................................................141
6. Theoretical Implications ..................................................................144
6.1 Derivation of Propositions ..........................................................144
6.1.1 Motivation ........................................................................145
6.1.2 Structure............................................................................146 6.1.3 Performances ....................................................................148
6.2 Induction of Hypotheses .............................................................149
6.2.1 Motivation ........................................................................149
6.2.2 Structure ...........................................................................153
6.2.3 Performances ....................................................................160
7. Managerial Implications ..................................................................164
7.1 Scope of Contract........................................................................164
7.2 Terms of Contract .......................................................................165
7.3 Procedural Aspects .....................................................................171
7.4 Collaborative Settings.................................................................174
7.5 Reduction of Theoretical Implications to Practice...................... 176
8. Conclusions .......................................................................................184
8.1 Theoretical Résumé ....................................................................184
8.2 Managerial Résumé ....................................................................186
8.3 Limitations and Scope for Further Research............................... 192
8.4 Outlook on Future Challenges .................................................... 194
Appendices.............................................................................................. 199
Questionnaire...................................................................................... 199
Model Agreements ............................................................................. 201
Technology License Agreement .................................................201
Patent License Agreement ..........................................................220
Agreement for the Exchange of Confidential Information .........229
References .......................................................................................... 233
List of Figures..................................................................................... 255
List of Tables ...................................................................................... 257
List of Abbreviations .......................................................................... 258
Index ................................................................................................... 261
Company Index................................................................................... 265
Author.................................................................................................267
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