全球运营管理课件new gom9-Techtransfer.ppt

GOM9,Technology Transfer Issues1,GOM9,技术转让问题 1,Introduction: Concepts and Issues,Defining “technology” (WIPO) Systematic knowledge for the manufacture of a product, the application of a process or the rendering of a service Can be reflected in an invention, an industrial design, a utility model, or in technical 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。,Introduction,Special features: lifecycles: embryonic, mature and aging No fixed shape Low reproduce marginal costs Public good nature Conventional vs high tech Open, semi-open and secret Defining Transfer:controversial Embodied in products, process and people Circulates through very diverse channels Formal: 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,Introduction,Informal: Reverse engineering, exchange of scientific and technical personnel Interested parties Business managers Governments International Organizations: UNIDO, UNCTAD, OECD Lawyers Unique features: Highly monopolistic Of 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,Introduction,Not simply follow basic market rule: LSLP vs value International Product Life Cycle Theory and Technology Transfer Six phases (see Chart) R&D costs recovered over a longer product life Literature Review Two schools Dependencia: focused on technology recipient side MNC 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 从属派：重视技术的接受方 跨国公司派：重视技术的提供方,Introduction,Domestic,More developed countries,Less developed countries,Time,Product life cycle phases,1,2,3,4,5,6,Local production (% of maximum local 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,1,2,3,4,5,6,本地产品 (占本地最大销 售额的),Transfer characteristics: Firm size Global strategy Cultural & geographical distance from receiving country,Receiving country characteritics: Investment policy Technical absorptive capacity,Technology characteristics: Age Sophistication,Introduction,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,技术特性： 新旧程度 复杂性,引言,Intellectual Property,Definition: Pieces of information, which can be incorporated in tangible objects at the same time in an unlimited number of copies at different locations Intellectual vs industrial property Patents: Definition A statutory privilege granted by a government for a fixed period of years to exclude other persons from utilizing a patented 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 Property,Three Tests: Novelty: US patent law vs European Strong patents vs weak patents Non-obviousness: people with ordinary skills in the art Commercial value Typical duration: 5-20 years Submarine case Compulsory 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 Property,Industrial Design Protection The ornamental or aesthetic aspect of a useful article, reproducible by industrial means Biotechnological Rights Issues Genetic engineering, animate substance and plant breeding Concern over food and health in under developed countries Trademark Definition A 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质量。,Intellectual Property,Qualification preconditions: visible distinctive not violating public order Registration challenges: Common law vs civil law Subcategories: True trademark: identifies a product with a firm Service marks: Arthur D. Little Certification marks: Good Housekeeping Collective marks: Association, 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 Property,Trade Secrets and Know-how Manufacturing processes, techniques, designs, plans, formulas, business information, etc. The reasons for not applying for patents: Time and Costs for patenting Enforcement difficulties Longevity: Ingredient X Springboard 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 Property,Copyrights The life of the author plus 50 years Differences between common law and civil law Solely of economic interests Moral rights of the author: The right of paternity The right of integrity Computer software International Agreements for Protection The 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 Property,Two key provisions: The right of national treatment The right of priority (12 months) Patent Cooperation Treaty (1970) with over 40 The filing of a single application A preliminary international search Madrid Agreement (Trademarks) (1892) with over 30 countries File a single application with WIPO for 20 years protection TRIPs (The 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 Property,The Berne Convention (Copyright) (1886) with over 80 countries National treatment Life of the author plus 50 years WIPO (1974) Registration Promoting inter-governmental cooperation Patent Information Center Specialized programs to help under-developed countries E-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 Property,AIC and LDC differences: A: Patent as incentive & compensation for R&D B: Development & the needs of population AIC Prevalent Views: Patent: Foreign monopoly on technology development Trademark: Mexican rules on a balance Copyright: 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：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 Property,New trends: trade laws against “piracy” Piracy and Counterfeited Goods: Consequences of piracy: Deprive the owner of revenue Ruin the reputation Deprive the legitimate dealers of sales Government Response: Unilateral: US: Amending Section 301 of the Trade 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 Property,Special 301”: IP practices Bilateral MOU and Bilateral Agreement Multilateral GATT, TRIPS, and NAFTA Business Response Stop them at the border Serious management challenges Gray 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 firms trademark in the US. Imports of the same goods by the foreign manufacturer or by a third party would be deemed unfair. Case 2A: A foreign firm manufactures good overseas. A US subsidiary of the firm registers the foreign trademark in the US. Customs could allow the goods to enter the US. Case 2B: A US firm creates a foreign subsidiary to make and sell trademarked goods. 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 to make goods and use a trademark in trademark in foreign markets. That manufacturer or a third party then imports the goods. Section 526 of the Tariff Act of 1930 required the exclusion of those imports, unless the 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 Property,The Section 42 of the Lanham Act provides that foreign-manufactured goods that copy 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 control,Lever Brothers Case (1993) Story: Lever US and its British affiliate, Lever UK, both manufacture deodorant soap under 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, and smells differently, has a bacteriostat that improves its deodorant properties, and contains the FDA-certified colorants. Moreover, the packaging of the two soaps is somewhat different. Lever US complained that the unauthorized influx of the British soap resulted in substantial consumer confusion in the 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 Property,Conceptual Summaries: IP Misappropriation of a Trade Secret Time Framework for Confidentiality Clauses Gray Market Scenarios Global Harmonization New Challenges: Centrality of IPRs From tertiary to primary E-commerce,知识产权,概念摘要： 知识产权 盗用商业秘密 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 Property,Wealth Created, Bill Gates Ear