全球運營管理講座newgom9Techtransfer1課件

1、GOM9Technology Transfer Issues1GOM9技術(shù)轉(zhuǎn)讓問題 1Introduction: Concepts and IssuesDefining “technology” (WIPO)Systematic knowledge for the manufacture of a product, the application of a process or the rendering of a serviceCan be reflected in an invention, an industrial design, a utility model, or in tech

2、nical information or skills, or in the services and assistance provided by experts for the design, installation or operation of an industrial plant or for the management of an industrial or commercial enterprises of its activities引言： 概念與問題定義“技術(shù)” (世界知識產(chǎn)權(quán)組織 )有關(guān)產(chǎn)品制造、工藝應(yīng)用或?qū)嵤┓?wù)的系統(tǒng)知識?？审w現(xiàn)在發(fā)明、工業(yè)設(shè)計、實用新型或技術(shù)信息

3、或技能上；也可體現(xiàn)在由專業(yè)人員為某個工廠的設(shè)計、安裝或運行，或某個工業(yè)或商業(yè)企業(yè)活動的管理所提供的服務(wù)和相關(guān)工作等方面。IntroductionSpecial features:lifecycles: embryonic, mature and agingNo fixed shapeLow reproduce marginal costsPublic good natureConventional vs high techOpen, semi-open and secretDefining Transfer:controversialEmbodied in products, process

4、and peopleCirculates through very diverse channelsFormal: Licensing, FDI.引言特點：生命周期：發(fā)育、成熟和衰老沒有固定的形狀復(fù)制邊際成本低受公眾喜愛傳統(tǒng)的與高科技的開放、半開放和保密 定義轉(zhuǎn)讓：有爭議具體表述于產(chǎn)品、工藝和人員通過多種渠道傳播正式：許可、國際直接投資.IntroductionInformal: Reverse engineering, exchange of scientific and technical personnelInterested partiesBusiness managersGovern

5、mentsInternational Organizations: UNIDO, UNCTAD, OECDLawyersUnique features:Highly monopolisticOf multiple exchange引言非正式： 反向工程、科技人員交流感興趣的部門企業(yè)經(jīng)理政府國際組織： 聯(lián)合國工業(yè)發(fā)展組織，聯(lián)合國貿(mào)易和發(fā)展會議， 經(jīng)濟合作和發(fā)展組織律師獨特之處：高度壟斷復(fù)式交換IntroductionNot simply follow basic market rule:LSLP vs valueInternational Product Life Cycle Theory an

6、d Technology TransferSix phases (see Chart)R&D costs recovered over a longer product lifeLiterature ReviewTwo schoolsDependencia: focused on technology recipient sideMNC school, focused on technology supplier side引言并非簡單地遵循基本市場規(guī)則：LSLP（售證方在受證方利潤中的份額）與價值國際產(chǎn)品生命周期理論與技術(shù)轉(zhuǎn)讓六個階段 (見圖)研發(fā)成本收回需要較長的產(chǎn)品生命文獻評論兩個學(xué)派從屬

7、派：重視技術(shù)的接受方跨國公司派：重視技術(shù)的提供方IntroductionDomesticMore developedcountriesLess developedcountriesTimeProduct life cycle phases123456Local production(% of maximumlocal sales)引言國內(nèi)較發(fā)達國家欠發(fā)達國家時間產(chǎn)品生命周期階段123456本地產(chǎn)品(占本地最大銷售額的)Transfer characteristics: Firm size Global strategy Cultural & geographical distance from

8、 receiving countryReceiving country characteritics: Investment policy Technical absorptive capacityMode of technologytransferTechnology characteristics: Age SophisticationIntroduction轉(zhuǎn)讓特性： 公司規(guī)模 全球戰(zhàn)略 與接受國的文化和地理差距 接受國特性： 投資政策 技術(shù)吸收能力技術(shù)轉(zhuǎn)讓方式技術(shù)特性： 新舊程度復(fù)雜性引言Intellectual PropertyDefinition:Pieces of informa

9、tion, which can be incorporated in tangible objects at the same time in an unlimited number of copies at different locationsIntellectual vs industrial propertyPatents:DefinitionA statutory privilege granted by a government for a fixed period of years to exclude other persons from utilizing a patente

10、d method or process知識產(chǎn)權(quán)定義：可與有形物體結(jié)合，同時存在于不同位置的無數(shù)復(fù)制品中的一些信息。 著作權(quán)與工業(yè)產(chǎn)權(quán)專利：定義由政府批準的針對在一定時間內(nèi)他人不得使用的特許方法或工藝的法定特權(quán)。Intellectual PropertyThree Tests:Novelty: US patent law vs EuropeanStrong patents vs weak patentsNon-obviousness:people with ordinary skills in the artCommercial valueTypical duration: 5-20 years

11、Submarine caseCompulsory licensing and confirmation patents知識產(chǎn)權(quán)三種檢測方法：新穎性： 美國專利法與歐洲專利法強勢專利與弱勢專利不尋常：具有普通藝術(shù)技能的人才商業(yè)價值一般期限： 5-20年潛艇案例強制許可和確認專利Intellectual PropertyIndustrial Design ProtectionThe ornamental or aesthetic aspect of a useful article, reproducible by industrial meansBiotechnological Rights I

12、ssuesGenetic engineering, animate substance and plant breedingConcern over food and health in under developed countriesTrademarkDefinitionA certificate of origin, telling the customer sth about product quality知識產(chǎn)權(quán)工業(yè)設(shè)計保護可用工業(yè)手段復(fù)制的有用物品的裝飾或美學(xué)層面生物技術(shù)權(quán)力問題基因工程、生命物質(zhì)和植物育種對不發(fā)達國家的食品和健康問題的擔(dān)憂商標定義商品產(chǎn)地證，消費者可通過它了解產(chǎn)品

13、質(zhì)量。Intellectual PropertyQualification preconditions:visibledistinctivenot violating public orderRegistration challenges:Common law vs civil lawSubcategories:True trademark: identifies a product with a firmService marks: Arthur D. LittleCertification marks: Good HousekeepingCollective marks: Associat

14、ion, etc.知識產(chǎn)權(quán)資格條件：可視有特點不干擾公共秩序注冊問題：普通法與民法 亞類:真實商標：將產(chǎn)品同廠家聯(lián)系起來服務(wù)標志: Arthur D. Little認證標志: 良好家居服務(wù)集體標志: 協(xié)會等Intellectual PropertyTrade Secrets and Know-howManufacturing processes, techniques, designs, plans, formulas, business information, etc.The reasons for not applying for patents:Time and Costs for p

15、atentingEnforcement difficultiesLongevity: Ingredient XSpringboard Doctrine protection知識產(chǎn)權(quán)商業(yè)機密和知識制造工藝、技術(shù)、設(shè)計、計劃、配方、業(yè)務(wù)信息等。不能申請專利的原因申請專利的時間和成本強制執(zhí)行的困難期限： 成分因素 X跳板原則保護Intellectual PropertyCopyrightsThe life of the author plus 50 yearsDifferences between common law and civil lawSolely of economic interest

16、sMoral rights of the author:The right of paternityThe right of integrityComputer softwareInternational Agreements for ProtectionThe Paris Convention (1883) with over 100知識產(chǎn)權(quán)版權(quán)作者一生加 50 年普通法與民法的差異僅涉及經(jīng)濟利益作者的精神權(quán)力：父子權(quán)力完整性的權(quán)力電腦軟件國際版權(quán)保護協(xié)議巴黎會議 (1883) ，100多個（國家參加）Intellectual PropertyTwo key provisions:The r

17、ight of national treatmentThe right of priority (12 months)Patent Cooperation Treaty (1970) with over 40The filing of a single applicationA preliminary international searchMadrid Agreement (Trademarks) (1892) with over 30 countriesFile a single application with WIPO for 20 years protectionTRIPs (The

18、 Trade related aspects of IPRs)知識產(chǎn)權(quán)兩個重要規(guī)定：國民待遇權(quán)力優(yōu)先權(quán) (12月)40多個（國家）的專利合作協(xié)議 (1970)單一申請的文件匯編初步的國際搜索30多個國家簽署的馬德里協(xié)議 (商標) (1892)向世界知識產(chǎn)權(quán)組織提交一個20年保護單一申請貿(mào)易有關(guān)的知識產(chǎn)權(quán) (知識產(chǎn)權(quán)的貿(mào)易相關(guān)方面)Intellectual PropertyThe Berne Convention (Copyright) (1886) with over 80 countriesNational treatmentLife of the author plus 50 yearsW

19、IPO (1974)RegistrationPromoting inter-governmental cooperationPatent Information CenterSpecialized programs to help under-developed countriesE-commerce and IPR Issue知識產(chǎn)權(quán)80多個國家簽署的伯爾尼協(xié)定(版權(quán)) (1886) 國民待遇作者一生加50年世界知識產(chǎn)權(quán)組織(1974)注冊促進政府間合作 專利信息中心幫助不發(fā)達國家的專門計劃 電子商務(wù)與知識產(chǎn)權(quán)問題Intellectual PropertyAIC and LDC differ

20、ences:A: Patent as incentive & compensation for R&DB: Development & the needs of populationAIC Prevalent Views:Patent: Foreign monopoly on technology developmentTrademark: Mexican rules on a balanceCopyright: Not favorable to rapid dissemination知識產(chǎn)權(quán)AIC 與 LDC的差異：A: 用于鼓勵和獎酬研發(fā)的專利B: 人類的發(fā)展和需要AIC 主要觀點：專利：

21、外國對技術(shù)開發(fā)的壟斷 商標：墨西哥平衡法則版權(quán)：不利于快速傳播Intellectual PropertyNew trends: trade laws against “piracy”Piracy and Counterfeited Goods:Consequences of piracy:Deprive the owner of revenueRuin the reputationDeprive the legitimate dealers of salesGovernment Response:Unilateral:US: Amending Section 301 of the Trade

22、Act of 1974“Super 301”: unfair foreign trade practices知識產(chǎn)權(quán)新趨勢：貿(mào)易法對付“盜版”盜版和假冒商品：盜版的結(jié)果：剝奪版權(quán)所有者的收入破壞聲譽剝奪合法經(jīng)銷者的銷售量政府對策：單方面：美國：修改1974年貿(mào)易法301條款“超級301條款”：不公平的外貿(mào)方法Intellectual PropertySpecial 301”: IP practicesBilateralMOU and Bilateral AgreementMultilateralGATT, TRIPS, and NAFTABusiness ResponseStop them a

23、t the borderSerious management challengesGray Market Issue:知識產(chǎn)權(quán)“特別 301”： 知識產(chǎn)權(quán)條款雙邊諒解備忘錄和雙邊協(xié)議多邊關(guān)貿(mào)總協(xié)定，知識產(chǎn)權(quán)協(xié)議和北美貿(mào)易協(xié)定企業(yè)對策拒之門外嚴峻的管理挑戰(zhàn)水貨市場問題：K Mart v Cartier (1988)The Supreme Court set out five structures:Case 1: A US firm purchases the rights to register and use a foreign firmstrademark in the US. Import

24、s of the same goods by the foreignmanufacturer or by a third party would be deemed unfair.Case 2A:A foreign firm manufactures good overseas. A US subsidiary of thefirm registers the foreign trademark in the US. Customs could allowthe goods to enter the US.Case 2B: A US firm creates a foreign subsidi

25、ary to make and sell trademarkedgoods. Customs could OK the goods.Case 2C:The US. Firm establishes a branch to manufacture goods offshore.Customs could OK the goods.Case 3:A US holder of a US trademark authorizes a foreign manufacturer tomake goods and use a trademark in trademark in foreign markets

26、.That manufacturer or a third party then imports the goods. Section 526of the Tariff Act of 1930 required the exclusion of those imports, unlessthe US trademark holder consented to the import.K Mart 與 Cartier (1988)最高法院設(shè)定五個結(jié)構(gòu)：:案例 1: 一家美國公司購買了在美國注冊和使用某外國公司商標的權(quán)力。該 外國制造商或第三方進口該商品應(yīng)視為不公平。 案例 2A:一個外國公司在海外

27、制造產(chǎn)品。該公司的美國子公司在美國注冊該 外國公司商標。海關(guān)應(yīng)允許該產(chǎn)品進入美國。案例 2B: 一個美國公司設(shè)立國外子公司，制造銷售已注冊商標的產(chǎn)品，海 關(guān)應(yīng)允許該產(chǎn)品進入。 案例 2C:美國公司建立分支機構(gòu)在境外制造產(chǎn)品，海關(guān)應(yīng)允許該產(chǎn)品進入。 案例 3:一個美國商標持有者授權(quán)某外國制造商制造產(chǎn)品并在外國市場使用 該商標。該制造商或第三方又要進口該產(chǎn)品。1930年關(guān)稅法第526款 要求排除此類產(chǎn)品的進口，除非美國商標持有者允許進口。Intellectual PropertyThe Section 42 of the Lanham Act provides that foreign-manuf

28、actured goods thatcopy or simulate a US registered trademark shall not be admitted into the US. But,According to Section 526 of the Tariff Act of 1930, US Customs declines to bar imported goods when the foreign producer and US trademark owner are under common controlLever Brothers Case (1993)Story:

29、Lever US and its British affiliate, Lever UK, both manufacture deodorant soapunder the “Shield” trademark. While the trademarks are registered in each country,the products have been formulated differently to suit local tastes and circumstances.Unlike the British product, the US soap lathers more, an

30、d smells differently, has abacteriostat that improves its deodorant properties, and contains the FDA-certifiedcolorants. Moreover, the packaging of the two soaps is somewhat different. LeverUS complained that the unauthorized influx of the British soap resulted in substantialconsumer confusion in th

31、e US, violating Section 42 of the Lanham Act. However, the Customs Service permitted importation of the British soap in accordance with Section 526 of the Tariff Act.Questions: Should the Customs Service be required to exclude the British soap from the US知識產(chǎn)權(quán)美國商標法（Lanham Act）第42款規(guī)定，復(fù)制或模仿美國注冊商標的外國制造的

32、產(chǎn)品 不允許進入美國。但根據(jù)1930年關(guān)稅法第526款，如果該外國生產(chǎn)商和美國商標擁有者處于一般控制之下，美國海關(guān)可不禁止其產(chǎn)品進入。萊沃兄弟公司（Lever Brothers）案例 (1993)事情：萊沃美國公司和它在英國的兄弟公司萊沃英國公司都生產(chǎn)以“Shield” 為商標的除臭皂，而且該商標已在兩國注冊。但產(chǎn)品配方有所不同以適應(yīng)本地喜好和條件。美國產(chǎn)品與英國不同, 它的泡沫較多且氣味 不同，帶有一種可提高除臭性能的抑止菌劑并含有經(jīng)過FDA（美國食品與藥品管理局）鑒定的 著色劑。此外，這兩種肥皂的包裝也有些區(qū)別。 萊沃美國公司投訴英國萊沃的肥皂非法流入美國造成美國消費者對該產(chǎn)品識別不清，違

33、反了商標法第42款。但海關(guān)根據(jù)關(guān)稅法第526款允許該英國肥皂進口。問題：美國海關(guān)是否應(yīng)拒絕英國肥皂進入美國。Intellectual PropertyConceptual Summaries:IPMisappropriation of a Trade SecretTime Framework for Confidentiality ClausesGray Market ScenariosGlobal HarmonizationNew Challenges:Centrality of IPRsFrom tertiary to primaryE-commerce知識產(chǎn)權(quán)概念摘要：知識產(chǎn)權(quán)盜用商業(yè)秘

34、密機密條款的時間框架水貨市場的情況全球調(diào)和化新挑戰(zhàn):知識產(chǎn)權(quán)的集中性從第三位到第一位電子商務(wù)Intellectual PropertyWealth Created, Bill GatesEarnings from licensing technologyPolaroid and Kodak: $1billion patent infringement caseTI: licensing fees bigger than its operating incomeShrinking Knowledge in Public DomainLess public R&DThe days of low-c

35、ost sharing goneBell LabsNew technologiesClone technologies and cancer curesHigh-quality scanning知識產(chǎn)權(quán)創(chuàng)造的價值，比爾蓋茨來自技術(shù)許可的收入寶麗萊（Polaroid）與柯達：10億美元專利侵權(quán)案 德州儀器 （TI）: 許可費大于經(jīng)營收入公眾領(lǐng)域壓縮知識減少公眾研發(fā)低成本共享的日子已經(jīng)過去貝爾實驗室新技術(shù)克隆技術(shù)與癌癥治療高質(zhì)量掃描Intellectual PropertyDid the device,formula, or information givea competitiveadvanta

36、ge?Disclosure anduse of the secretis unlawfulDid the takingbreach a duty ofconfidentiality?Did the takingoccur in the United States?Disclosure anduse of the secretis not unlawfulWas the secretacquired by improper means?Was the secretobtained fromsomeone whoacquired it byimpropermeans?Did the ownertake reasonable