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Material
http://www.mcdonalds.com.cn/products.htm
http://www.kfc.com.cn/kfccda/product/index.aspx
http://www.pepsi-cola.com.cn/
http://adgzs.china.com/zh_cn/jiayouz/11019139/20030928/11379602.html

4.The method of international IPR transfer
4.1 international franchising 国际特许专营
1.what is franchising?--lack of universal definition
(1) Black’s law dictionary
Franchise is an arrangement for the grant of the sole（唯一的） right to engage in a certain business, or in a business using a particular trademark, in a certain area.

(2) IFA国际特许经营协会
Franchising is a method of distributing products or services. At least two levels of people are involved in the franchise system: (A) the franchisor, who lends his trademark or trade name and a business system; and (B) the franchisee, who pays a royalty and often an initial fee for the right to do business under the franchisor's name and system. http://www.franchise.org/
 

(3)Administrative Rules on Franchise Operation 商业特许经营管理办法
“Commercial Franchise Operations” is a transaction under which a franchisor, by agreement, grants trademark, trade name, business model, and other rights to a franchisee in return for the payment of franchising fees by the franchisee.

     商业特许经营（以下简称特许经营），是指通过签订合同，特许人将有权授予他人使用的商标、商号、经营模式等经营资源，授予被特许人使用；被特许人按照合同约定在统一经营体系下从事经营活动，并向特许人支付特许经营费。
                             -------《商业特许经营管理办法》

2.history of franchising
1851年，胜家（Singer）缝纫机公司开始以特许经营的方式出售其缝纫机分销特许经营权
19世纪末--20世纪初，石油提炼公司和汽车制造商开始授权给一些人和企业销售他们的产品
第二次世界大战以后，餐饮、旅馆等服务业的发展使特许经营在内容和形式上更加丰富,麦当劳,肯德基等成为新一代特许经营的成功代表。

3.types of franchising
(1) Product and Trade Name franchising商品商标型特许经营
Producer-retailer制造商授予零售商特许经营权
 Ford , Shell 
Producer-wholesaler制造商授予批发商特许经营权
 Pepsi-cola

(2) Business Format Franchising
      经营模式型特许经营
Mcdonalds   KFC
Other classification
Service franchising 服务特许
Production franchising 生产特许
Distribution franchise分销特许
definitions
Service franchising, under which the franchisee offers a service under the sign, trade name or trademark of the franchisor, and conforms with the requirements of the latter.
Production franchising, under which the franchisee him/herself manufactures, in accordance with the franchisor’s directions, the goods which he or /she sells under the latter’s trade mark.
definitions
Distribution franchising, under which the franchisee undertakes to sell certain goods in a shop which carries the franchisor’s sign.
See more at:
http://www.jpcook.com/ls4.html or
http://www.ccfa.org.cn/licence/peixun/unit1/3.jsp

4. Franchising  agreement
It is an agreement between the  franchisor
and franchisee to determine the rights and
obligations of the parties.
5. Sample of international franchising agreement
国际商会标准特许经营合同

Main clauses of  the agreement
（一）当事人的名称、住所；
（二）授权许可使用特许经营权的内容、期限、 地点及是否具有独占性；
（三）特许经营费的种类、金额、支付方式以及保证金的收取和返还方式；
（四）保密条款；
（五）特许经营的产品或服务质量控制及责任
（六）培训和指导；

（七）商号的使用；
（八）商标等知识产权的使用；
（九）消费者投诉；
（十）宣传与广告；
（十一）合同的变更和解除；
（十二）违约责任；
（十三）争议解决条款
（十四）双方约定的其他条款。

6.regulation of franchising
(1)Regulation by domestic law
Contact law 合同法
Intellectual property law 知识产权法
Competition law 竞争法
Tax law 税法

the Guidelines of Foreign Invested Industry
    外商投资产业指导目录
Administrative Rules on Franchise Operation
    商业特许经营管理办法

(2)self-regulation
Besides domestic laws, self-regulation is the only method by which franchising is regulated in most countries and jurisdictions carrying out by national and international franchise association. 
《中国连锁经营协会特许经营行为准则》
http://www.ccfa.org.cn/licence/peixun/unit3/2.jsp

4.2 international licensing 国际许可
1.what is licensing?
It is an arrangement under which the person holding a particular right or privilege grants part of the right or privilege to another person under specific terms and conditions for commercial purpose.    

2.definition of licensing agreement
It is a contractual arrangement pursuant to which a party, commonly known as a licensor, grants unto another party, the licensee, the right to use the licensor’s patents, know-how and/or trademarks in connection with the manufacturing and/or distribution of a certain product.

3.Characters of international licensing agreement (许可协议的特点)
合同的标的是无形物（intangible）
合同转移的一般是技术的使用权（user’s right）而非所有权(ownership)
许可协议通常履行期限较长（long time）

continued
4.Three types of licensing agreement
独占许可协议（exclusive licensing agreement）
排他许可协议（non-exclusive licensing agreement）
普通许可协议（simple licensing agreement）

除上述以外，还存在：
分许可sub-licensing
交换许可cross-licensing

Q: how to choose a proper kind of licensing agreement?

5.sample of international licensing contract (patent)
Section 1 definitions 定义
Section 2 scope of the contract合同范围
Section 3 price of the contract合同价格
Section 4 conditions of payment 支付条件
Section 5 delivery and improvement of the technical documentation资料的交付和改进

Section 6 infringements and guarantees 侵权和保证
Section 7 taxes and duties 税费
Section 8 force majeure 不可抗力
Section 9 dispute settlements  争议解决
Section 10 effectiveness of the contract and miscellaneous 合同生效和其他
Sample of patent licensing contract

Q: what is the difference between licensing and franchising? 

6.regulation of licensing
http://tech.sina.com.cn/focus/intel_DJQ/index.shtml
http://tech.sina.com.cn/it/2005-04-07/1328574839.shtml
http://www.sipo.gov.cn/sipo/ywdt/yazz/t20050407_43911.htm

Domestic law
Contract law合同法
    技术合同是当事人就技术开发、转让、咨询或者服务订立的确立相互之间权利和义务的合同。
   非法垄断技术、妨碍技术进步或者侵害他人技术成果的技术合同无效。
Intellectual property law知识产权法
Competition law竞争法
International law
Trips agreement

[案情]中国某市航空仪表公司1991年10月与美国某飞机制造公司达成一项引进该公司某航空仪表生产线的协议。在合同签订的谈判过程中,美方坚持合同应包括如下一些规定:1.受方航空仪表公司生产该仪表所需的电子管必须从该公司购买。

  2.受方必须引进制造另一种仪表的技术及部分设备。(注:另一种仪表与合同标的仪表无关)3.受方每年生产该仪表不得超过一定数目。4.受方在生产过程中不得将该仪表生产技术进行改进。由于中方人员急于签约,同意美方的要求,双方遂于1991年10月15日签字,并于10月20日将合同报送某省对外经济贸易厅审批。

[问题]1.本案中合同是能否得到批准?2.你认为本合同存在什么问题?

专题：对限制性商业做法的管制
What is a restrictive trade practice?
 根据联合国《关于控制限制性贸易做法的多边协议的公平原则和规则》规定，限制性贸易做法是指：
    通过滥用或者谋取滥用市场力量的支配地位，限制进入市场或者以其他方式不适当地限制竞争，对国际贸易特别是发展中国家的国际贸易及其经济发展造成或可能造成不利影响，或者是通过企业之间正式或非正式的，书面的或非书面的协议以及其他安排造成了同样影响的一切行动或行为。

国际技术转让交易中常见的反竞争条款
(1)Territorial restrictions地域限制: the licensor limits the territorial scope of the licensee’s use of the technology or sale of the products.
Regulations : In almost every country, a restriction on the territorial scope granted in the license of a statutory right is treated as a normal incidence of that right.  

Such restrictions, however, apply only to the immediate licensee. Attempt to limit the territory in which an article can be traded after it has left the hands of the licensee are universally condemned. Why?

Exhaustion-of-rights doctrine 权利用尽原则
Once goods made or sold under license is in circulation, the licensor has no further right to control its distribution.

权利用尽原则也称权利穷竭原则，指经权利人或经其委托将其享有权利的专利产品、或带有商标标识的商品、或其他受知识产权法律、或相关的国际条约保护的智力劳动成果合法处分，如销售、转让以后，权利人就该产品所享有的已被其处分的权利即告穷竭。因此也被称为“首次售卖原则”

 (2)export restrictions 出口限制limit partially, or entirely, the right of a license to export goods from the territory where the licensee or its production facilities are located.
   Regulations: most countries, as a general rule, prohibit export restrictions. However, is often subject to many exceptions.

In some countries, restrictions will be tolerated  if they limit exports to a country where
    (a)the licensor owns intellectual property rights and
    (b)the local laws allow the licensor to restrict foreign imports

In other countries, export restrictions will be tolerated if the limitation applies to a territory where
(a)the licensor is manufacturing or distributing the restricted goods or
(b)the licensor has granted a exclusive license to a party to manufacture or distribute the goods

(3)A Price fixing clause固定价格条款 requires a licensee to sell products at a  price specified by the licensor.it may specify either maximum or minimum prices. It may be restricted to the technology or goods being licensed, or it may cover other products as well.
   Regulations: most counties prohibit all forms of price-fixing except India.   

(4)Non-competition clauses禁止竞争条款 forbid a licensee from entering into agreement to acquire or distribute technologies or products that compete with ones furnished or designated by the licensor.
a.directs prohibitions may include an understanding that the licensee is not to manufacture or sell competing technologies, or that the licensee is to terminate the use of particular technologies or terminate the manufacture and distribution of particular products.

b.indirect prohibitions may require the license not to cooperate with a competing business or not to pay higher royalties for competition products.
Regulations: in general noncompetition clauses are prohibited in all counties.

(5)No-challenge clauses 禁止质疑条款forbid a from challenging the validity of the statutory rights granted by the licensor.
    Regulation: only a few countries (e.g.Germany)permit no-challenge clauses generally
   Most consider such a clause in a patent or copyright license to be a restrictive trade practice. Many developing countries expressly condemn them in their transfer-of-technology codes.

（6）Tying clause 搭售is a provision that requires a licensee to acquire or use, separately from the technology wanted, additional goods or designates personnel either from the licensor or from a source named by the licensor.
   Regulation: in general, tying clauses are illegal in virtually every country. Most countries, however , provide for exemptions in varying degree, for example to protect the goodwill of a trademark or to protect quality standards.

（7）Restrictions on research and development 研发限制
It includes two kinds of activities:
(1)the research, adaptation, and improvement of the transferred technology or
(2)the research and development of competing technologies.
Regulations: both of these are condemned in almost all countries. The one significant exception is the US.
 

（8）Quality control clauses:质量控制条款 provision requiring a licensee to meet quality standards or operate under quality controls set by a licensor.
  

Regulations: it is almost uniformly accepted in all countries around the world. quality control clauses will be prohibited, however, where they are used as a means of improperly tying in other products or services, where they seek to make the licensee dependent on the licensor, or where they seek to allocate trade territories.

（9）A grant-back provision 回授条款requires a technology recipient(that is, a patent or know-how recipient)to transfer back to the supplier any improvements, inventions, or special know-how that it acquires while using the technology. There are two kinds of grant back requirement, unilateral grant-back and exclusive grant-back.

Regulations: most countries prohibit provision requires one of the the parties---usually the licensee--- to transfer exclusive rights to the licensor . One exception is the  US, which permits such a provision so long as it has no anticompetitive effect. In contrast, most country do not prohibit grant-back provisions that are reciprocal and nonexclusive.

（10）Post expiration royalties:逾期提成 the licensor asks for royalties even after the expiration of the patent .
Regulations: countries generally hold that payment obligations or restrictions based on statutory intellectual property rights must terminate when the statutory right expires.
Regulations in international law
Trips agreement No 40.2
Nothing in this Agreement shall prevent (WTO)members from specifying in their national legislation licensing practices or conditions that may in particular cases constitute an abuse of intellectual property rights having an adverse effect on competition in the relevant market.

本协定的任何规定均不得阻止各成员在其立法中明确规定在特定情况下可构成对知识产权的滥用并对相关市场中的竞争产生不利影响的许可活动和条件。

Analysing
1.Article 40 of the TRIPS Agreement recognizes that some licensing practices or conditions pertaining to intellectual property rights which restrain competition may have adverse effects on trade and may impede the transfer and dissemination of technology (paragraph 1).

 

Regulations in domestic law
In developing and non-free-market countries, such anticompetition rules are commonly found in transfer-of-technology codes.
In the developed free-market countries, they are found in longstanding antimonopoly legislation.
regulations of China
《中华人民共和国合同法》明确规定，“违反法律、行政法规的强制性规定”的合同，以及“非法垄断技术、妨碍技术进步”的技术合同无效。
《最高人民法院关于审理技术合同纠纷案件适用法律若干问题的解释》第10条：
下列情形，属于合同法第三百二十九条所称的“非法垄断技术、妨碍技术进步”：
（一）限制当事人一方在合同标的技术基础上进行新的研究开发或者限制其使用所改进的技术，或者双方交换改进技术的条件不对等，包括要求一方将其自行改进的技术无偿提供给对方、非互惠性转让给对方、无偿独占或者共享该改进技术的知识产权；

（二）限制当事人一方从其他来源获得与技术提供方类似技术或者与其竞争的技术；
（三）阻碍当事人一方根据市场需求，按照合理方式充分实施合同标的技术，包括明显不合理地限制技术接受方实施合同标的技术生产产品或者提供服务的数量、品种、价格、销售渠道和出口市场；
（四）要求技术接受方接受并非实施技术必不可少的附带条件，包括购买非必需的技术、原材料、产品、设备、服务以及接收非必需的人员等；　　

（五）不合理地限制技术接受方购买原材料、零部件、产品或者设备等的渠道或者来源；
（六）禁止技术接受方对合同标的技术知识产权的有效性提出异议或者对提出异议附加条件。
regulations of China
《中华人民共和国技术进出口管理条例》第二十九条规定：技术进口合同中，不得包含下列限制性条款
（一）要求受让人接受并非技术进口必不可少的附带条件，包括购买非必需的技术、原材料、产品、设备或者服务；
（二）要求受让人为专利权有效期限届满或者专利权被宣布无效的技术支付使用费或者承担相关义务；
（三）限制受让人改进让与人提供的技术或者限制受让人使用改进的技术；

（四）限制受让人从其他来源获得与让与人提供的技术类似的技术或者与其竞争的技术；
（五）不合理地限制受让人购买原材料、零部件、产品或者设备的渠道或者来源；
（六）不合理地限制受让人产品的生产数量、品种或者销售价格；
（七）不合理地限制受让人利用进口的技术生产产品的出口渠道。