全球运营管理课件new gom9-Techtransfer1.ppt

GOM9,TechnologyTransferIssues1,GOM9,技术转让问题1,Introduction:ConceptsandIssues,Defining“technology”(WIPO)Systematicknowledgeforthemanufactureofaproduct,theapplicationofaprocessortherenderingofaserviceCanbereflectedinaninvention,anindustrialdesign,autilitymodel,orintechnicalinformationorskills,orintheservicesandassistanceprovidedbyexpertsforthedesign,installationoroperationofanindustrialplantorforthemanagementofanindustrialorcommercialenterprisesofitsactivities,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,Specialfeatures:lifecycles:embryonic,matureandagingNofixedshapeLowreproducemarginalcostsPublicgoodnatureConventionalvshightechOpen,semi-openandsecretDefiningTransfer:controversialEmbodiedinproducts,processandpeopleCirculatesthroughverydiversechannelsFormal: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:Reverseengineering,exchangeofscientificandtechnicalpersonnelInterestedpartiesBusinessmanagersGovernmentsInternationalOrganizations:UNIDO,UNCTAD,OECDLawyersUniquefeatures:HighlymonopolisticOfmultipleexchange,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,Notsimplyfollowbasicmarketrule:LSLPvsvalueInternationalProductLifeCycleTheoryandTechnologyTransferSixphases(seeChart)R&DcostsrecoveredoveralongerproductlifeLiteratureReviewTwoschoolsDependencia:focusedontechnologyrecipientsideMNCschool,focusedontechnologysupplierside,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,Moredevelopedcountries,Lessdevelopedcountries,Time,Productlifecyclephases,1,2,3,4,5,6,Localproduction(%ofmaximumlocalsales),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),Transfercharacteristics:FirmsizeGlobalstrategyCultural&geographicaldistancefromreceivingcountry,Receivingcountrycharacteritics:InvestmentpolicyTechnicalabsorptivecapacity,Technologycharacteristics:AgeSophistication,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,IntellectualProperty,Definition:Piecesofinformation,whichcanbeincorporatedintangibleobjectsatthesametimeinanunlimitednumberofcopiesatdifferentlocationsIntellectualvsindustrialpropertyPatents:DefinitionAstatutoryprivilegegrantedbyagovernmentforafixedperiodofyearstoexcludeotherpersonsfromutilizingapatentedmethodorprocess,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。,IntellectualProperty,ThreeTests:Novelty:USpatentlawvsEuropeanStrongpatentsvsweakpatentsNon-obviousness:peoplewithordinaryskillsintheartCommercialvalueTypicalduration:5-20yearsSubmarinecaseCompulsorylicensingandconfirmationpatents,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,IntellectualProperty,IndustrialDesignProtectionTheornamentaloraestheticaspectofausefularticle,reproduciblebyindustrialmeansBiotechnologicalRightsIssuesGeneticengineering,animatesubstanceandplantbreedingConcernoverfoodandhealthinunderdevelopedcountriesTrademarkDefinitionAcertificateoforigin,tellingthecustomersthaboutproductquality,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。,IntellectualProperty,Qualificationpreconditions:visibledistinctivenotviolatingpublicorderRegistrationchallenges:CommonlawvscivillawSubcategories:Truetrademark:identifiesaproductwithafirmServicemarks:ArthurD.LittleCertificationmarks:GoodHousekeepingCollectivemarks: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:ArthurD.Little认证标志:良好家居服务集体标志:协会等,IntellectualProperty,TradeSecretsandKnow-howManufacturingprocesses,techniques,designs,plans,formulas,businessinformation,etc.Thereasonsfornotapplyingforpatents:TimeandCostsforpatentingEnforcementdifficultiesLongevity:IngredientXSpringboardDoctrineprotection,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,IntellectualProperty,CopyrightsThelifeoftheauthorplus50yearsDifferencesbetweencommonlawandcivillawSolelyofeconomicinterestsMoralrightsoftheauthor:TherightofpaternityTherightofintegrityComputersoftwareInternationalAgreementsforProtectionTheParisConvention(1883)withover100,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）,IntellectualProperty,Twokeyprovisions:TherightofnationaltreatmentTherightofpriority(12months)PatentCooperationTreaty(1970)withover40ThefilingofasingleapplicationApreliminaryinternationalsearchMadridAgreement(Trademarks)(1892)withover30countriesFileasingleapplicationwithWIPOfor20yearsprotectionTRIPs(TheTraderelatedaspectsofIPRs),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),IntellectualProperty,TheBerneConvention(Copyright)(1886)withover80countriesNationaltreatmentLifeoftheauthorplus50yearsWIPO(1974)RegistrationPromotinginter-governmentalcooperationPatentInformationCenterSpecializedprogramstohelpunder-developedcountriesE-commerceandIPRIssue,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,IntellectualProperty,AICandLDCdifferences:A:Patentasincentive&compensationforR&DB:Development&theneedsofpopulationAICPrevalentViews:Patent:ForeignmonopolyontechnologydevelopmentTrademark:MexicanrulesonabalanceCopyright:Notfavorabletorapiddissemination,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,IntellectualProperty,Newtrends:tradelawsagainst“piracy”PiracyandCounterfeitedGoods:Consequencesofpiracy:DeprivetheownerofrevenueRuinthereputationDeprivethelegitimatedealersofsalesGovernmentResponse:Unilateral:US:AmendingSection301oftheTradeActof1974“Super301”:unfairforeigntradepractices,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,IntellectualProperty,Special301”:IPpracticesBilateralMOUandBilateralAgreementMultilateralGATT,TRIPS,andNAFTABusinessResponseStopthemattheborderSeriousmanagementchallengesGrayMarketIssue:,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：,KMartvCartier(1988),TheSupremeCourtsetoutfivestructures:Case1:AUSfirmpurchasestherightstoregisteranduseaforeignfirmstrademarkintheUS.Importsofthesamegoodsbytheforeignmanufacturerorbyathirdpartywouldbedeemedunfair.Case2A:Aforeignfirmmanufacturesgoodoverseas.AUSsubsidiaryofthefirmregisterstheforeigntrademarkintheUS.CustomscouldallowthegoodstoentertheUS.Case2B:AUSfirmcreatesaforeignsubsidiarytomakeandselltrademarkedgoods.CustomscouldOKthegoods.Case2C:TheUS.Firmestablishesabranchtomanufacturegoodsoffshore.CustomscouldOKthegoods.Case3:AUSholderofaUStrademarkauthorizesaforeignmanufacturertomakegoodsanduseatrademarkintrademarkinforeignmarkets.Thatmanufacturerorathirdpartythenimportsthegoods.Section526oftheTariffActof1930requiredtheexclusionofthoseimports,unlesstheUStrademarkholderconsentedtotheimport.,KMart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。,IntellectualProperty,TheSection42oftheLanhamActprovidesthatforeign-manufacturedgoodsthatcopyorsimulateaUSregisteredtrademarkshallnotbeadmittedintotheUS.But,AccordingtoSection526oftheTariffActof1930,USCustomsdeclinestobarimportedgoodswhentheforeignproducerandUStrademarkownerareundercommoncontrol,LeverBrothersCase(1993)Story:LeverUSanditsBritishaffiliate,LeverUK,bothmanufacturedeodorantsoapunderthe“Shield”trademark.Whilethetrademarksareregisteredineachcountry,theproductshavebeenformulateddifferentlytosuitlocaltastesandcircumstances.UnliketheBritishproduct,theUSsoaplathersmore,andsmellsdifferently,hasabacteriostatthatimprovesitsdeodorantproperties,andcontainstheFDA-certifiedcolorants.Moreover,thepackagingofthetwosoapsissomewhatdifferent.LeverUScomplainedthattheunauthorizedinfluxoftheBritishsoapresultedinsubstantialconsumerconfusionintheUS,violatingSection42oftheLanhamAct.However,theCustomsServicepermittedimportationoftheBritishsoapinaccordancewithSection526oftheTariffAct.Questions:ShouldtheCustomsServiceberequiredtoexcludetheBritishsoapfromtheUS,知识产权,美国商标法（LanhamAct）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（LeverBrothers）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。,IntellectualProperty,ConceptualSummaries:IPMisappropriationofaTradeSecretTimeFrameworkforConfidentialityClausesGrayMarketScenariosGlobalHarmonizationNewChallenges:CentralityofIPRsFromtertiarytoprimaryE-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,IntellectualProperty,WealthCreated,BillGatesEarnings