全球运营管理课件new gom10-Techtransfer2.ppt

GOM9,TechnologyTransferIssues2,GOM9,技术转让问题2,InternationalLicensing,MajorModesofTechnologyLicensingInventor-corporationCorporation-corporationCross-licensingIntrafirmlicensingAdvantagesversusDisadvantages:,ExtraprofitsonexistingtechnologiesMarketentrywhenbarriersexistLowerpoliticalrisksComponentssalesinhigh-techindustries,LossofcontrolandaccountabilityThebrandorcompanynamesmaysufferMayresultinfuturecompetitionfromthelicenseeLowRoyaltyrateandshortagreementduration,国际许可,技术许可的主要模式发明者公司公司公司交叉许可公司内许可优点与缺点：,现有技术的额外利润存在障碍情况下的市场准入政治风险低高技术行业的零配件销售,缺乏控制和责任管理可能使品牌或公司名誉受损可能造成来自被许可者的竞争较低的许可费和较短的协议期限,InternationalLicensing,TECHNOLOGYSUPPLYCOUNTRY,TECHNOLOGYRECEIVINGNATION,CSunkcostsResearchanddevelopmentofthistechnologyTime:Inthepast,CGeneraladministrativeheadquartersoverheadsINrunningaglobaloperationAmortizationofcostsoffailedRor(2)Presentvalueofcosttolicenseetoobtainsametechnologyelsewhere(asestimatedbylicensor).Floor:Presentvaluesoftransfercostsandopportunitycosts(asestimatedbylicensor).ZeroPrice,LicenseeCeiling:Minimumof(1)Presentvalueofincrementalprofitsfromuseoftechnology(asestimatedbylicensee);or(2)Presentvalueofpaymentsaskedbybestalternativetechnologysuppliers;or(3)Presentvalueoflicenseescoststodevelopsimilartechnology;or(4)Presentvalueofcostsofpatentinfringementorotherillegalacquisitionofthetechnology.Floor:Presentvalueoflicensorstransfercosts(asestimatedbylicensee).,BargainingRange,技术价格谈判,许可者上限:至少是(1)被许可者通过使用该技术增加的利润的现值(按许可者的估计)；或(2)被许可者从别处获得同样技术的成本现值(按许可者的估计)。下限：转让者成本和机会成本的现值(按许可者的估计)。零价格,被许可者上限：至少是(1)使用该技术增加的利润现值(按许可者的估计)；或(2)最佳选择的技术供应商要求的价格现值；或(3)被许可者开发类似技术的成本现值；或(4)侵犯专利或其他非法获得该技术的成本现值。下限：许可者转让成本现值(按许可者的估计)。,可讨价还价的范围,TechnologyPriceNegotiation,DeterminantsofCompensationAgreementspecificDurationofthecontractOnthelicenseesuseoftechnologyGrantback,etc.EnvironmentspecificLevelofcompetitionamongalternativesuppliersLicenseegovernmentscontrolBusinessrisk,技术价格谈判,报酬的决定协议规定合同期限有关被许可者对该技术的使用回授，等。环境规定可选供应商竞争程度被许可者政府控制商务风险,PaymentSchedule,LumpSumPaymentOnelumpsumpayment:AfterthetransferoftheengineeringpackageandtherelevanttechnicaldocumentsFront-endlumpsumpayment5-20%payableafterthecontractissigned35-50%payableafterthebasicengineeringpackageiscompletedandacceptedbythetransferee20-30%payableaftertheplantstartsup5-10%payableafterqualifiedproductsareproducedAdvantagesanddisadvantages,付款安排,总付一次付清:转让全部工程包和相关技术文件之后先期付款合同签字后支付5-20%基本工程包完成并经被转让者验收之后支付35-50%工厂开工后支付20-30%生产出合格产品后支付5-10%优点和缺点,PaymentSchedule,付款安排,LSLP=提供者收到的技术许可费接受者得到的利润R接受者得到的利润LSLP(技术供方占技术受方利润的份额)Pn,PaymentSchedule,Petro-chemical0.5%-2%Daily-UsedConsumerGoods1%-2.5%MachineryManufacturing1.5%-3%Chemical2%-3.3%Pharmaceutical2.5%-4%Electric3%-4.5%Wood-processing3.5%-5%PrecisionInstrument4.5%-5.5%Automobile4.5%-6%OpticalandElectric7%-10%,ReferenceforRoyaltyRatesbyIndustries,付款安排,石油化工0.5%-2%日用消费品1%-2.5%机械制造1.5%-3%化工2%-3.3%医药2.5%-4%电子3%-4.5%木材加工3.5%-5%精密机械4.5%-5.5%汽车4.5%-6%光电设备7%-10%,各行业许可费率参考,PaymentSchedule,CombinedPriceandPaymentTechnologytransfercosts20%ofthetotalpricefortheprotectionoftransfereeTechnicalAssistanceFeeWages,travelexpenses,andallowancesofthedispatchedtechnicalpersonnel,付款安排,结合价格和付款技术转让成本用于受让者保护的总价格的20技术援助费工资、差旅费和派遣技术人员的津贴,PaymentSchedule,One-TimeFeesFront-endorlumpsumpaymentsTechnicalservicefeesOtherservicefeesFeesRelatingtoLicensingActivityTotalroyalties(ratexbasis)FixedandslidingroyaltyratesMarginsoncomponentssuppliedorproductspurchasedfromlicenseeOtherReturnsGrantbackvaluesTaxsavingsLicensorequity,Summaryoftypesofpayments,付款安排,一次性费用先期付款或一次付清技术服务费其他服务费许可活动的相关费用总许可费(费率x基数)固定与浮动许可费率零部件供应或从被许可者处采购的产品获得的利润其他回报回授价值节税许可者权益,付款类型摘要,LicensingAgreement,KeyContractualProvisionsScopeoftheLicense:Grantclause:exclusiveandnon-exclusiveGrantbackclauseRestrictiononUseTerritorialrestrictionOtherrestrictiveclausesPerformanceRequirementsPerformanceprovisionsWarranties,许可协议,重要合同规定许可的范围：批准条款：独家或非独家回授条款使用限制地区限制其他限制条款执行要求执行规定担保,LicensingAgreement,CompensationOnetimefeesFeesrelatingtolicensingactivityOtherreturnsIPRprotectionandconfidentialityThreetimeframes,PriortoAgreementDuringAgreementAfterAgreement,PotentiallicenseesmaywishtoinspecttechnologytomeasurethevalueofanagreementLicensormaywishtolimitthenumberofpeoplewithwhomlicenseesmaysharetechnologyLicensormaywishtoensurethatlicenseesdonotuseordisclosetechnologyafteragreementends.,许可协议,报酬一次性收费与许可活动相关的费用其他回报知识产权保护和机密性三个时间框架,签订协议前签订协议期间签订协议后,潜在的被许可者可能希望检查技术，以衡量协议的价值。许可者可能希望限制与被许可者共享该技术的人数许可者可能希望确保被许可者在协议期满后不再使用或透露该技术。,LicensingAgreement,DisputeSettlementJurisdictionandArbitrationForceMajeureDurationLicenseetendtodemandlong-termlicensesSubjecttothegoverningofnationallawNatureofIPTermsforterminationCaseStudy:AnalyzingSampleAgreements,许可协议,解决争议司法与仲裁不可抗力期限被许可者倾向于要求长期许可受本国法律管辖知识财产的性质终止条款案例研究:分析协议样本,TechTransferandJV,JVsabilitytocombinethestrengths,expertise,technology,andknow-howofseparatebusinesseswithasharingofinvestmentcostsandrisksPrimaryadvantages:allowstheparticipantstoundertakepotentiallyspeculativeandhigh-riskendeavorswithoutexposingassetstounlimitedliabilityCandefineattheoutsettheextenttowhicheachshallbeliableforcostsandhowrisksassociatedwiththeendeavorshallbeallocatedDrawback:Problemswilldevelopinthedecision-makingprocessRequirescontinuingagreementbetweentheJVpartnersastothenatureandscopeoftheenterprise,技术转让与合资企业,合资企业可将各个企业的优势、专业技能、技术和知识结合起来，共担投资成本和风险。主要优点：允许合资者实施可能的具有投机性和高风险项目，而不至使资产承担过大责任。可以在开始建立公司时确定双方承担成本和相关风险责任的范围。缺点：决策过程可能出现问题要求合资伙伴对企业范围和性质不断达成一致,TechTransferandJV,StructureofaJointVentureLimitationofLiabilityDefinitionofRights&ObligationsByusingthecorporateform,theJVpartnerswillhaveawell-definedsetofbasicruleswithrelativelycertainoperationthatcanbefurtherrefinedbytheirshareholdersagreementtomeettheneedsofthejointventure.NegotiatinganInternationalTechJVTheinformationExchangeAgreementTheMOUorLetterofIntentShouldnotpurporttobindeitherpartytotheJV,技术转让与合资企业,合资企业的结构有限责任定义权力和义务通过这种组合形式，合资伙伴将拥有定义明确的、与特定的经营相关的一套基本规则，并通过他们的股东协议进一步细化，以满足该合资企业的需要。谈判建立国际技术合资企业信息交换协议谅解备忘录或意向书不应意图使任何一方在法律上受该合资企业的制约。,TechTransferandJV,KeyProvisionsDefinitionsManagementoftheJVProceduresforResolvingDisputesTerminationoftheJVForceMajeureThePatentsandTechnologytobeTransferredPatentsExclusivityKnow-how,技术转让与合资企业,重要规定定义合资企业的管理解决争议的程序合资的终止不可抗力转让的专利和技术专利的独占性知识,TechTransferandJV,Conveying,Recovering,andProtectingtheRightsinPatentsandTechnologyConveyingtheRightsDistributingRightsonTerminationProtectingtheRights:ConfidentialityAncillaryAgreements,技术转让与合资企业,专利和技术权力的转让、恢复和保护转让权力合同终止时的权力分配保护权力：机密性补充协议,Exercise,AThaicompanyhaddecidedtoacquiretechnologytomanufactureahighlysophisticatedtelecommunicationproduct.AccordingtothequotationofferedbytheGermancompany,theThaicompanywouldpay4.4millionmarksrightafterthesigningofthecontract.ThentheThaicompanywouldpaytheGermancompanytheremainderinroyaltyfeesfromtheendofthethirdyeartotheendofeighthyear.Thesellingpriceofthisproductwas100marksperpiece.Theplannedannualoutputforthisproductwas845,000pieces.Thetechnologyrecipientsgrossprofitsshouldbe30%andthesuppliersLSLPwassetat16.7%.(1mark=US$0.628andi=10%).TheFrenchquotationwasbasedonafront-endlumpsumpaymentschedule.Thetotalquotedpricewas75millionfrancs.TheThaicompanywouldpayadownpaymentof20%ofthetotal,thenpay50%bytheendofthefirstyear.Theremaining30%wouldbepaidbytheendofthesecondyearwhenth