Magister Legum - LLM / Traditional Knowledge (TK) is the long standing wisdom, teachings and practices of indigenous communities which have been passed on orally, in the majority of cases, from generation to generation. TK is expressed in the form, medicine, agriculture, understanding of the ecology, music, dance, stories, folklore, poetry, spiritual, cultural and artistic expressions, and knowledge relating to bio-diversity. This thesis focuses on plant bio-diversity, as part of TK, and the problem of bio-piracy. We attempt a definition of TK; its characteristics; possible measures that can be taken to ensure its protection; and challenges that are likely to be faced in seeking to ensure its protection, first at the global level, then with particular attention to South Africa. Some of the suggested measures include the enactment of sui generis laws to protect plant biodiversity, rather that the adaptation of the existing IP regime. Some of the challenges include unwillingness of some countries to participate in international initiatives, like the US, which is not even a signatory of the CBD, and the difficulty of identifying the persons in whom ownership of the TK should be vested when it is possessed by many communities. This issue is a very sensitive one because there have been numerous cases of bio-piracy in developing countries perpetrated by corporations from industrialised countries. Some of the notable examples of bio-piracy include; The Neem tree from India whose products are used in medicine, toiletries and cosmetics; the Ayahuasca a vine used in India for religious and healing ceremonies; the Asian Turmeric plant used in cooking, cosmetics and medicine, the Hoodia Cactus plant in the Kalahari Desert of southern Africa used by the San people to stave off hunger. These instances have given rise to increased talks about the necessity of a law on the protection of TK relating to bio-diversity in general at the international, regional and national levels. The World Intellectual Property Organisation (WIPO) is working on enacting measures to ensure the protection and conservation of TK at the international level; in 2002 it created nine fact finding commissions on TK in general. These fact finding missions on TK innovation and creativity were undertaken with the intention of seeking possibilities of protecting the intellectual property rights of TK holders. In 2002, The WIPO Intergovernmental Committee on Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore (IGC) was created to continue with this task. The 1993 Convention on Biodiversity (CBD) encourages States to enact measures to implement its provisions on the protection of knowledge, innovations and practices of indigenous and local communities. This trend in protection of TK relating to biological resources has been followed by the Nagoya Protocol of October 2010. The World Trade Organisation (WTO) also makes mention of protecting plant varieties. The research suggests that one could use both Intellectual Property Rights and Sui Generis measures to address and secure protection of TK, and provide compensation to holders for the use of the intellectual property. / South Africa

Magister Legum - LLM / Traditional Knowledge (TK) is the long standing wisdom, teachings and practices of indigenous communities which have been passed on orally, in the majority of cases, from generation to generation. TK is expressed in the form, medicine, agriculture, understanding of the ecology, music, dance, stories, folklore, poetry, spiritual, cultural and artistic expressions, and knowledge relating to bio-diversity. This thesis focuses on plant bio-diversity, as part of TK, and the problem of bio-piracy. We attempt a definition of TK; its characteristics; possible measures that can be taken to ensure its protection; and challenges that are likely to be faced in seeking to ensure its protection, first at the global level, then with particular attention to South Africa. Some of the suggested measures include the enactment of sui generis laws to protect plant biodiversity, rather that the adaptation of the existing IP regime. Some of the challenges include unwillingness of some countries to participate in international initiatives, like the US, which is not even a signatory of the CBD, and the difficulty of identifying the persons in whom ownership of the TK should be vested when it is possessed by many communities.

Infringement in fields of Intellectual Property Rights is a global problem causing repeated and sustained attention at national and international levels. A number of different organizations and commissions are constantly control and counteract the growth of these infringements, but despite the taken measures counterfeit and piracy goods continue to be manufactured and sold around the world. The Russian Federation (RF) is a country that has close commercial ties with many foreign states, including Sweden. However the RF is one of the countries, included on the Special 301 Priority Watch List due to the continuing and large - scale of Property Rights and Intellectual Property Rights violations. In this connection, a study was conducted with the participation of collaborating Swedish - Russian enterprises, whose activities could be subjected to counterfeiting and IP piracy. The aim of the study is to determine how collaborating Swedish – Russian enterprises with branches in the Russian Federation perceive the situation in the country and assess the activities of Russian institutions that play an important role in controlling and combating violations against counterfeiting and IP piracy. Moreover the aim includes identifying the most vulnerable class of actors in the general mechanism of counterfeiting and IP piracy. The research based on elements of the New Institutional Economics Theory and conducted by using a combination of a literature review and semi- structured interview with representatives of Swedish - Russian enterprises. The study found that organizations are the most vulnerable class of actors in general mechanism of counterfeiting and IP piracy. International firms and companies are in a more difficult situation because they provide own activities simultaneously in several legal and political systems. Representatives of interviewed companies argue that activities of analyzed Russian institutions are insufficiently effective and the state should take a set of measures so the foreign collaborative organizations could feel confident in territory of the RF and Russian market would become more attractive for foreign business.

在現今之知識世紀裡，智慧財產權已經成為一國技術進步程度的指標，因此一個國家的智慧財產權制度對於該國產業發展的影響力已愈來愈大。而我國擁有許多的農業試驗與研究機構，加上農業相關技術之法人機構，我國的農業研究投入資源與產出具有相當的規模，加上我國各農業試驗機構的努力，使得我國農業研究成果相當豐碩，在現今智慧財產權有價的時代裡，我國農業研究成果的正式智慧財產權數目如發明專利、新型專利、技術移轉件數、技術移轉權利金等卻相當低。 本研究透過訪談之初級資料搜集，加上文獻資料等次級資料，從產業部門、智慧財產權法律部門、政府部門、學術及研究機構等四角度切入，探討我國農業技術之智慧財產權管理政策與制度。主要的探討方面有五方面：對我國農業之智慧財產權觀念的看法、有關農業智慧財產權法律條件之保護程度、我國智慧財產權制度對於農業創新的影響、農業推廣制度對智慧財產權保護的影響以及農業技術援外對智慧財產權保護的影響等。 本研究發現，智慧財產權觀念在農業研究人員與產業界之間存在著很大的落差。我國現有的農業研究成果的智慧財產權保護程度不足，使得我國農業研究成果取得積極性的智慧財產權保護數量較少，加上農業技術肩負有農業技術援外的外交任務，因此我國智慧財產權制度鼓勵農業創新的效果較差。而我國的農業推廣制度自日據時代以來，即與農業研究相並行，因此具有服務農民的「公共財」精神，以技術擴散為原則，與智慧財產權的私有化觀念有所差異。 本研究建議，我國現行之農業技術成果智慧財產權管理政策與制度，必須加強與智慧財產權各相關議題進行緊密的連結；我國的農業推廣制度也須扮演銜接產業界與研究機構間的橋樑角色，教育農業推廣人員與農民，以鼓勵農業創新的發展；我國相關的法令規章與相關的配合管理制度也必須加快腳步，以因應技術的快速發展並符合國際間一致性的規範。

台灣的產業型態已逐漸由勞力密集的傳統產業轉型為知識密集的科技產業，已成為資訊電子生產大國，共有十多項資訊設備佔有率高居世界第一。而我國以中小企業為主的產業結構，研發經費的投入往往無法與國外大廠相比，產學研合作研發便成為我國產業創新中相當重要的一個環節，大學與研發機構在研發創新上的成果是提升產業技術水準的重要來源。 智慧財產權在科技業可說是重要的競爭武器之一，智慧財產權管理更為各企業亟欲增進的能力。立法院於1998年底通過科學技術基本法，通過將合作研發成果的智財權中政府出資部分的權利下放給研發單位，對我國產學研合作的智慧財產權管理具有相當之影響，而後如何執行以達成技術擴散，更是需要深入探討。 本文希望從管理面與法律面來探討產學研合作的智慧財產權管理，透過（1）國內外文獻探討；（2）專家深度訪談；（3）先進國家產學研合作與智財權管理之探討；（4）國內產學研合作與智財權管理之個案分析等方式來進行探討。借重國外經驗，發現國內實行時的問題，以期經由良好的合作與技術移轉制度，使學研單位獲得經費補助與權利金回饋，且亦使廠商獲得切合需要之技術的使用權，讓創新成果獲得保護，並讓知識能充分移轉流通，強化我國國家創新系統。 本研究建議如下： 一、 對政府而言 （一） 以藏富於民的原則將智財權下放 （二） 例外介入以使成果充分使用 （三） 專利成果應用的限制 （四） 建立產業技術移轉服務體系（ITTS） （五） 修改相關法令 二、 對大學而言 （一） 應設立專責的智慧財產權管理單位 （二） 與中介機構合作執行智慧財產權管理 （三） 將研究方向分為基礎研究導向與產業技術導向 （四） 鼓勵大學教授投入產業服務 （五） 設立創新技術公司 三、 對研發機構而言 （一） 研發機構應更積極鼓勵研發人員投入研發 （二） 積極與民間企業合作並從事技術推廣與技術移轉 （三） 加強智慧財產權管理能力 （四） 落實R＆D人數/智財權業務人數比例 四、 對廠商而言 （一） 培養本身研發能力與技術承接能力 （二） 善用外在技術資源 （三） 建立智慧財產權權管理制度 （四） 與學研單位合作應秉持多次合作的誠意 （五） 與學研單位建立長期合作關係並合理的給予回饋 目錄 表 目 錄 3 圖 目 錄 5 第一章 緒論 7 第一節 研究背景 7 第二節 研究動機 10 第三節 研究目的與問題 12 第四節 研究大綱 13 第二章 文獻探討 15 第一節 智慧財產權 15 第二節 科技基本法 26 第三節 產學合作 29 第四節 產研合作 39 第三章 研究方法 45 第一節 研究取向 45 第二節 研究方法 47 第三節 訪談對象 48 第四節 個案範圍 49 第五節 研究限制 50 第四章 先進國家產學研合作與智慧財產權管理 51 第一節 美國產學研合作與智慧財產權管理 51 第二節 日本產學研合作與智慧財產權管理 83 第三節 德國產學研合作與智慧財產權管理 101 第五章 國內個案分析 119 第一節 工業技術研究院 119 第二節 台大慶齡工業中心 155 第三節 宏□電腦 175 第六章 結論與建議 191 第一節 結論 191 第二節 對政府的建議 195 第三節 對大學的建議 201 第四節 對研發機構的建議 204 第五節 對產業界的建議 206 第六節 對後續研究的建議 209 參考文獻 213 / Taiwan’s industry has transferred from traditional labor-intensive industries to knowledge-intensive technology industries. Furthermore, Taiwan has become a leading country for information and electronics manufacturing industries. According to statistical data, Taiwan has leaded more than ten items of components in their industries in the world and their marketing shares are getting up. But our industrial structure is based on Small Middle Enterprise (SME). The R&D capability can’t keep up with the oversea big companies. The collaboration between industry, university, and research institute is very important for Taiwan’s industries. SME depend universities and research institutes’ research outcomes to bring up the industrial technology level. Intellectual Property Right (IPR) is one of the most important competitive weapons for industry. As a result, IPR management ability is what every firm would like to cultivate. In 1998, the Legislative Yuan passed the Science and Technology Basic Law which allowing the IPR releasing from the government sponsored projects to the research institutes and universities. It would have a tremendous effect on the IPR management in collaborated research between industry, university, and research institute. From the management and law’s point view, the purpose of this thesis is to (1) clarify and analyze the international and domestic data of IPR management; (2) compare the collaborated research between industry, university, and research institute in advanced countries such as the United State, Japan, and Germany; and (3) study the case of Industrial Technology Research Institute (ITRI), Taiwan University, and ACER to discover the practical IPR management problems in Taiwan. With proper university and industry collaboration and technology transfer system, universities will get proper return for the research fund and industry will be able to utilize the invention well. Therefore the innovative research outcomes would be protected and the knowledge would diffuse smoothly that reinforce Taiwan’s National Innovation System (NIS). Consequently, this thesis makes the following suggestions for government, universities, research institutes, and industries: 1. For Government (1) Allow the university and research institute to own the Intellectual Property Right. (2) Government own the exceptional involvement right in order to apply the R&D outcomes well. (3) Proper restriction to patent application. (4) Establish Industrial Technology Transfer Service (ITTS). (5) Amend the relative regulations and laws. 2. For University (1) Establish specific IPR management office. (2) Collaborate with the agency institute to executive IPR management. (3) Divide research direction into basic research orientation and industrial technology research orientation. (4) Encourage professors devoting the industrial service. (5) Fund the innovation technological company. 3. For Research Institute (1) Encourage R&D staff devoting more effort in their job. (2) Actively collaborate with industry and engage in technology transfer and promotion. (3) Enhance IPR management ability. (4) Improve the R&D staff / IPR management staff ratio. 4. For Industry (1) Cultivate R&D ability and technology receiving ability. (2) Utilize outside technology resource well. (3) Establish IPR management system. (4) Remain condor when collaborate with universities and research institutes. (5) Establish long-term partnership with universities and research institutes then give them reasonable feedback.

This dissertation provide not only a comprehensive overview on concepts and models of innovation, but it also provide critical analysis on the intellectual property system with an emphasize on the patent system and enforcement system in Vietnam. The empirical findings have suggested that legal business types, firm's age are amongst the determinant characteristics that indicate manufacturing innovation. Furthermore, a number of factors including rewarding scheme,average employee education,collaboration, training are the factors that influence manufacturing innovation.<p>Moreover, an in depth study on the patenting cost system of the fast developing ASEAN countries and China explore the impact of FDI and the patenting cost on the growth of resident patent registration ,which is observed following the traditional demand curve. With poor infranstructure and lack of competent IP personnel, the quality of patent granted is in questionaire. Finally, this research explore in depth the enforcement systems in Vietnam, which need further reform. / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

有鑑於我國長期以來皆為技術引入國，為強調自主創新，產學合作受到了相當程度的重視，而生技製藥產業的價值鏈長、高風險、高研發成本、高知識內涵等特性，使得產學合作成為生技製藥產業中相當重要的機制。又由於上述的產業特性，使得生技製藥公司在產品上市前，所有的研發投入，皆以「無形資產」的形式，儲存在階段性的開發成果之中，因此，智慧財產的保護與管理，對生技製藥公司而言，確實有很高的重要性，智慧財產若經過妥善的經營與管理，能有效成為企業的競爭優勢來源。 本研究即以生技製藥產業之產學合作為前提，針對智財管理與企業策略因子，以產業方的觀點，探討「產學合作－智財管理－企業營運模式」三者之間的關連性，並從智財管理的四大內涵－「創造、保護、管理、運用」作為分析之構面，釐清重要議題與關鍵因素，以作為日後雙方架構合作與管理模式之依據，達到知己知彼，互信合作，創造雙贏的綜效。 本研究以個案訪談方式，訪談台灣微脂體、台灣東洋、世基生醫三間國內生技製藥公司，並根據訪談結果之分析與彙總比較，得到研究發現並提出建議如下： 1. 生技智財策略與其營運模式有關，受到獲利方式影響而採取不同的智財策略。 2. 生技產學合作成果，「權利歸屬」之模式多元化，與該成果距離商品化之成功率有關；此外，「先專利、後發表」的慣例已普遍採用，無保密與公開之衝突。 3. 智財專責部門的設立與人數配置，應隨企業的成長而增置，人才網羅應以生技背景之跨領域專業人才為主，且需經過商管課程之訓練，方能對產業發展與競爭脈動有所掌握。 4. 產學合作成果運用，與企業核心能力與互補性資產掌控度有關，國內廠商而言，「對外授權」仍然必要；運用訴訟的方式與否，與「智財策略」有關聯，並受成本因素之影響。 5. 產業方應主動積極參與產學合作，由於學界缺乏商品化之經驗，技轉辦公室現階段亦無法充份發揮功能，因此，由產業方積極參與產學合作，能以產業方敏銳的商業嗅覺協助學界補捉具有潛力的研究，發揮引導之功能，使前瞻研究能進入應用階段，而實際造福人群，同時帶動產業的活絡發展。 / Regarding that Taiwan is always in the position of “technology transfer licensee”, to emphasize the goal of innovation, academic-industrial collaboration has becoming an important issue. Especially with regards to the features of bio-pharmaceutical value chain, such as compartmentalization, high risk, high return, highly knowledge-based, the investment input is thus transformed into the form of “intangible assets”before the product actually launched. Therefore, the protection and management of intellectual property is critical to bio-pharmaceutical companies. If IP is properly managed and utilized, it could become a source of competitive advantage. This thesis is based on the study of bio-pharmaceutical academic-industrial collaborations, from an industrial perspective, focusing on IP management and strategy. Four components of IP management－development, protection, management, and exploitation, is set as major constructs of this thesis. The primary goal of this study is to find important issues and key factors toward a successful collaboration. This thesis studied three bio-pharmaceutical companies, Taiwan Liposome Company, TTY Biopharm, and Pharmigene. According to results of interviews and analytical comparison, this thesis concludes some findings and suggestions as follow: 1. The IP strategy of a bio-pharmaceutical company is related to its business model. Different profitable models should apply different IP strategies. 2. The way which academia and industry allocate the IP right and interest is diversed, according to the risk and commercialization successful rate of the collaboration. Also, “patent goes first, publication goes after”is a common route. Therefore there is no collision between secrecy and openness. 3. The establishment and expansion of in-house IP department should go in accordance with the growing of company. It is necessary for an accountable one to be bio-tech educated and further received MBA training, in order to be competent to business competition and strategic planning. 4. The exploitation of collaboration is in relation to company’s core competence and complementary assets. For Taiwan bio-pharm companies, the“licensing out”model is necessary. With regards to litigation, the attitude toward litigation is related to its IP strategy and cost of litigation. 5. The industrial part in such collaboration should take an active attitude, because the academic part lacks commercialization experience. It would be helpful for industry to guide and help capturing valuable study in academia, therefore makes radical innovation an usful one.