全球运营管理讲座newgom9Techtransfer1课件

1、GOM9Technology Transfer Issues1GOM9技术转让问题 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： 概念与问题定义“技术” (世界知识产权组织 )有关产品制造、工艺应用或实施服务的系统知识。可体现在发明、工业设计、实用新型或技术信息

3、或技能上；也可体现在由专业人员为某个工厂的设计、安装或运行，或某个工业或商业企业活动的管理所提供的服务和相关工作等方面。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.引言特点：生命周期：发育、成熟和衰老没有固定的形状复制边际成本低受公众喜爱传统的与高科技的开放、半开放和保密 定义转让：有争议具体表述于产品、工艺和人员通过多种渠道传播正式：许可、国际直接投资.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、科技人员交流感兴趣的部门企业经理政府国际组织： 联合国工业发展组织，联合国贸易和发展会议， 经济合作和发展组织律师独特之处：高度垄断复式交换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引言并非简单地遵循基本市场规则：LSLP（售证方在受证方利润中的份额）与价值国际产品生命周期理论与技术转让六个阶段 (见图)研发成本收回需要较长的产品生命文献评论两个学派从属

7、派：重视技术的接受方跨国公司派：重视技术的提供方IntroductionDomesticMore developedcountriesLess developedcountriesTimeProduct life cycle phases123456Local production(% of maximumlocal sales)引言国内较发达国家欠发达国家时间产品生命周期阶段123456本地产品(占本地最大销售额的)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转让特性： 公司规模 全球战略 与接受国的文化和地理差距 接受国特性： 投资政策 技术吸收能力技术转让方式技术特性： 新旧程度复杂性引言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知识产权定义：可与有形物体结合，同时存在于不同位置的无数复制品中的一些信息。 著作权与工业产权专利：定义由政府批准的针对在一定时间内他人不得使用的特许方法或工艺的法定特权。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知识产权三种检测方法：新颖性： 美国专利法与欧洲专利法强势专利与弱势专利不寻常：具有普通艺术技能的人才商业价值一般期限： 5-20年潜艇案例强制许可和确认专利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知识产权工业设计保护可用工业手段复制的有用物品的装饰或美学层面生物技术权力问题基因工程、生命物质和植物育种对不发达国家的食品和健康问题的担忧商标定义商品产地证，消费者可通过它了解产品

13、质量。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.知识产权资格条件：可视有特点不干扰公共秩序注册问题：普通法与民法 亚类:真实商标：将产品同厂家联系起来服务标志: Arthur D. Little认证标志: 良好家居服务集体标志: 协会等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知识产权商业机密和知识制造工艺、技术、设计、计划、配方、业务信息等。不能申请专利的原因申请专利的时间和成本强制执行的困难期限： 成分因素 X跳板原则保护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知识产权版权作者一生加 50 年普通法与民法的差异仅涉及经济利益作者的精神权力：父子权力完整性的权力电脑软件国际版权保护协议巴黎会议 (1883) ，100多个（国家参加）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)知识产权两个重要规定：国民待遇权力优先权 (12月)40多个（国家）的专利合作协议 (1970)单一申请的文件汇编初步的国际搜索30多个国家签署的马德里协议 (商标) (1892)向世界知识产权组织提交一个20年保护单一申请贸易有关的知识产权 (知识产权的贸易相关方面)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知识产权80多个国家签署的伯尔尼协定(版权) (1886) 国民待遇作者一生加50年世界知识产权组织(1974)注册促进政府间合作 专利信息中心帮助不发达国家的专门计划 电子商务与知识产权问题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知识产权AIC 与 LDC的差异：A: 用于鼓励和奖酬研发的专利B: 人类的发展和需要AIC 主要观点：专利：

21、外国对技术开发的垄断 商标：墨西哥平衡法则版权：不利于快速传播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知识产权新趋势：贸易法对付“盗版”盗版和假冒商品：盗版的结果：剥夺版权所有者的收入破坏声誉剥夺合法经销者的销售量政府对策：单方面：美国：修改1974年贸易法301条款“超级301条款”：不公平的外贸方法Intellectual PropertySpecial 301”: IP practicesBilateralMOU and Bilateral AgreementMultilateralGATT, TRIPS, and NAFTABusiness ResponseStop them a

23、t the borderSerious management challengesGray Market Issue:知识产权“特别 301”： 知识产权条款双边谅解备忘录和双边协议多边关贸总协定，知识产权协议和北美贸易协定企业对策拒之门外严峻的管理挑战水货市场问题：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 与 Cartier (1988)最高法院设定五个结构：:案例 1: 一家美国公司购买了在美国注册和使用某外国公司商标的权力。该 外国制造商或第三方进口该商品应视为不公平。 案例 2A:一个外国公司在海外

27、制造产品。该公司的美国子公司在美国注册该 外国公司商标。海关应允许该产品进入美国。案例 2B: 一个美国公司设立国外子公司，制造销售已注册商标的产品，海 关应允许该产品进入。 案例 2C:美国公司建立分支机构在境外制造产品，海关应允许该产品进入。 案例 3:一个美国商标持有者授权某外国制造商制造产品并在外国市场使用 该商标。该制造商或第三方又要进口该产品。1930年关税法第526款 要求排除此类产品的进口，除非美国商标持有者允许进口。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知识产权美国商标法（Lanham Act）第42款规定，复制或模仿美国注册商标的外国制造的

32、产品 不允许进入美国。但根据1930年关税法第526款，如果该外国生产商和美国商标拥有者处于一般控制之下，美国海关可不禁止其产品进入。莱沃兄弟公司（Lever Brothers）案例 (1993)事情：莱沃美国公司和它在英国的兄弟公司莱沃英国公司都生产以“Shield” 为商标的除臭皂，而且该商标已在两国注册。但产品配方有所不同以适应本地喜好和条件。美国产品与英国不同, 它的泡沫较多且气味 不同，带有一种可提高除臭性能的抑止菌剂并含有经过FDA（美国食品与药品管理局）鉴定的 着色剂。此外，这两种肥皂的包装也有些区别。 莱沃美国公司投诉英国莱沃的肥皂非法流入美国造成美国消费者对该产品识别不清，违

33、反了商标法第42款。但海关根据关税法第526款允许该英国肥皂进口。问题：美国海关是否应拒绝英国肥皂进入美国。Intellectual PropertyConceptual Summaries:IPMisappropriation of a Trade SecretTime Framework for Confidentiality ClausesGray Market ScenariosGlobal HarmonizationNew Challenges:Centrality of IPRsFrom tertiary to primaryE-commerce知识产权概念摘要：知识产权盗用商业秘

34、密机密条款的时间框架水货市场的情况全球调和化新挑战:知识产权的集中性从第三位到第一位电子商务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知识产权创造的价值，比尔盖茨来自技术许可的收入宝丽莱（Polaroid）与柯达：10亿美元专利侵权案 德州仪器 （TI）: 许可费大于经营收入公众领域压缩知识减少公众研发低成本共享的日子已经过去贝尔实验室新技术克隆技术与癌症治疗高质量扫描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