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УДК 339.166.5(075.8)
A.P. Pukhal’skaya* APPROACHES TO STRATEGIC MANAGEMENT BY INTELLECTUAL PROPERTY OF INDUSTRIAL ENTERPRISES
In the article approaches to strategic management by intellectual property of industrial enterprises, components of potential of an industrial enterprise, factors of formation of management strategies of intellectual property items are revealed. Principles of formation of the strategy of management by intellectual property items for the ensuring of innovative development of industrial enterprises were designated. For the development of specific recommendations on strategic management by intellectual property items, legal analysis of contracts and documents related to the intellectual property items industry of the Zaporozhye region was performed.
Key words: intellectual property, strategic management, potential, human capital, information support
The effectiveness of innovative activity of industrial enterprises in modern conditions is caused by reasonable choice and the specific formation of innovation development strategy of its products to ensure that potential and competitive advantage. Ambiguity, complexity, increased instability of the environment lead to the formation of a reasonable strategy for managing intellectual property, based on understanding of the economic, technological, social and marketing component of the enterprise.
Intellectual property management strategy development process is a process of continuous improvement innovation of the company towards developing and strengthening the competitive advantages of the company in the development, selection and implementation of strategic innovation. Review and improvement of strategy are driven by the onset of significant changes in the internal or external environment of the enterprise.
Many works of local scientists are dedicated to the role of intellectual property in order to ensure the competitiveness of Ukraine’s economy and local enterprises: A.G. Zharinova [1], I. Cossack [2],
O.V. Kornev [3], S. Margashchuk [4], Morozov [5], A. Nemchin [6], B. Racha [7], V.P. Seminozhenko [8], and so on.
One of the most successful business managers of our time B. Gates said recently that financial analysts are increasingly paying attention to the quality management of IP and intellectual resources and include them in the list of the enterprise most important market parameters, along with tangible assets and market position [9, p. 266]. The above opinion of B. Gates demonstrates the increasing role of reasonable administration in IPO business enterprise knowledge-intensive sectors of the economy of Ukraine. Thus, given the main objective of establishing a business
entity, IPO should serve as tools that increase the profit of the enterprise and increase their effectiveness.
The aim of the article is exploration of approaches to strategic management of intellectual property industry.
Strategic management involves the management IP intellectual and innovative potential of the company, focusing on providing a manufacturing process, the implementation of which provided a stable functioning and development of the company, increasing its competitive advantage in the innovations market that expand the horizons and get a stable commercialization of profit margins (ref. Figure). Thus, the strategic management of IP must contain fixed set of activities of the company to ensure the most effective use of intellectual and innovative capacity of the organization.
Potential of the industrial enterprise has the following components: human capital, IPO portfolio, manufacturing facilities, information, resources and organizational support.
Human capital is typically a combination of knowledge, skills, experience, and qualifications personnel under the posts; human resources managers also need to understand human capital as the tools of intellectual and managerial work, creative environment and work to ensure the effective and efficient operation of the business in the direction of increasing productivity and competitiveness, which in turn has a direct impact on the growth of national income.
Portfolio IPO involves deliberately formed a set of IP rights (patents and security documents), which are the property of the company or transferred on time use by a license agreement, under a lease or contract of commercial concession (franchise), and are designed to implement innovative enterprise policy.
The presence and status of financial resources involves the study of sources of financing innovation and enterprise development, financial reward for the
* © Pukhal’skaya A.P., 2014
Pukhal’skaya Anastasia Pavlovna ([email protected]), the Dept. of International Tourism, Zaporozhye National Technical University, Zaporozhye, 69063, Russian Federation.
Intellectual property management
* Analysis
IP market analysis
Analysis of the needs of potential
Planning
Setting goals and prospects of enterprise
> Strategy formation
Developing specific unique activities
Figure. Components and main stages of IP management strategies
creators of IP pay policy and more profits for use in their own production or in the form of royalties and license fees for the sale.
Production capacities assume the maximum power production base characterized by the volume of production of innovative products and services (including the number of employed workers and their level of training, equipment of fixed assets, the level of modernity and efficiency of fixed assets, cost structure, taking into account the factor of economy, depending on the volume and rate of development production of innovative products and services).
Information support is an important component of the potential of enterprises and provides analytical work with information resources innovation. Analytical work involves patent search, forming databases, electronic catalogs and other electronic resources; work with documents; collection and analysis of information on the development of competitors; decisions about coverage of the results of intellectual activity and innovation in materials workshops, conferences, presentations, exhibitions and fairs.
In the technical and technological aspects of modern scholars emphasize several media processing unstructured information to its consolidated ordering [9-11].
1. Systemic document management, which allow for control of the processes of creating, editing, publishing and archiving documents.
2. Systemic Web Content management, which facilitates the identification of specialized knowledge allows to personalize the content for a specific customer information.
3. Systemic record management, which allows to process scientific archive of the scientific debate, discussion of innovative ideas and more.
4. Managing DRM (digital rights management) creates a secure environment for the dissemination of information and knowledge for their protection; legal access, dissemination of information data, copying and more.
5. Cooperation, which aims at improving the communication of users within a single research area.
The organizational component of the potential of enterprises provides a set of tools and methods of intellectual innovation of the enterprise to realize the possibilities for creating new types of equipment and technologies in the enterprise based on production capacity, the size of the financing intellectual innovation, the number of highly qualified professionals intensity exercise science research and completeness and availability of the information and analytical framework.
Principles of formation of IP management strategies for innovative development of the industrial enterprises are:
1. Dynamism — strategic planning of intellectual and innovative activity is a process of detailed consideration of environmental changes to support the relationship now in order to obtain competitive results of intellectual innovation.
2. Alternative provides for various options change the environment (especially the activities of competitors in the market of IP) formation and behavior of the company in such cases.
3. Specificity — to reflect the specificities of IPO in the strategic planning process of the enterprise innovation.
4. Environmental — intellectual achievement and innovation activities aimed at reducing the harmful impact of the production results on the environment.
5. Social orientation — achievement of intellectual and innovative activities designed to mitigate social problems, including solving the problems of staff turnover, increased educational qualification, reducing the incidence of professional illnesses of employees and so on.
6. Quantitative and qualitative determination — strategic planning provides some guidance achieving quantitative and qualitative results of intellectual innovation, which act as control points.
7. Timeframes — focus on solving complex problems of scientific and technical issues that will exist in the long term, which requires reasonable, consistent, challenging activities.
8. Inheritance and succession — policy changes, including the development of scientific and technological base of the company, should be implemented in a specific order based on their progress as a result of scientific and technological processes and practices of other entities.
9. Scientific and technical validity — use common scientific and methodical approach helps to develop realistic plans for intellectual innovation, which should be consistent with the parameters of the external and internal environment.
The formation of IP management strategy affects a large number of factors, including the purpose and interests of the following groups of people:
1. Owners of businesses that are interested in the sustainable development of the company, increasing its market value, profitability and strengthen market positions.
2. Employees of companies that are interested in getting compensation for physical and mental (intellectual) labor and the right to participate in the profits of the enterprise
3. Customers, buyer, aimed at satisfying their needs through the acquisition of intellectual innovation activities as competitive products and services or technology (own the rights to IP).
4. Business partners Infrastructure and of market of IP — organizations that have business relations with the company, provides commercial and noncommercial services to enterprises on the implementation of enterprise management of IP.
5. Local governments are interested in shaping the social and environmental region’s development, including through social innovation-oriented industrial policy.
6. Society as a whole — government institutions and members of the public, interacting now in the political, economic, legal and other spheres macro to
give him part of it creates wealth for social welfare and development.
To develop specific recommendations on strategic management of IP, we conducted a legal analysis of contracts and documents related to the IPO industry in Zaporozhye region, which showed the following:
1. Lack of a unified legal position of enterprises in the treaties of similar subject.
2. Different levels of elaboration of the legal texts of treaties.
3. A small level of protection of businesses and defects in regulating liability of the company, limited rights in the presence of large responsibilities and risks.
4. Contracts with contractors differ in terms of rights and obligations of enterprises that are unchanged (baseline).
5. Pending protection issues on IP that is creating or previously was created and used in the work, particularly in contracts with the State Enterprise «Ivchenko-Progress» of JSC «Motor Sich».
6. Unregulated use of trademarks.
7. Some contracts have questioned the possibility of an objective assessment of the value of IP and the possibility of determining the value of IP in the future, because its content is such that it can be used to confirm entitlements JSC «Motor Sich» ( in large part or in whole) to IP developed by SE «Ivchenko-Progress».
8. Analysis agreements clearly demonstrated the need for reflection IPO in accountancy of the company, including sets of design documentation.
The results of the analysis of IP in the legal accounting in the enterprise SE «Ivchenko-Progress» found that as IP at the enterprise can be detected and accounted on the balance sheet following IP:
1) inventions confirmed existing patents;
2) useful models confirmed existing patents or declarative patents positive solution;
3) industrial designs, confirmed existing patents.
Not a single set of design documentation was
reflected in the accounting records of the enterprise, and the cost of their creation forgiven for current expenditures . However, according to the rules, in the case of IP creation should be reflected in the accounting records of the enterprise, depending on how it was created. We encourage the company to improve future methods of accounting in the enterprise expenditure on research and development work, resulting in the creation of IPO. In particular, we perform separation costs for stage development work based on the probability of the risk characteristics of the negative results of applied research and their implementation (high, medium and low), the level of which is set by an expert committee. In addition, it is recommended to consider a sign of uncertainty in the applicability of the result in the production, which affects the display of the expenses, or expenses in the reporting period,
or capital investment, which increases the accuracy and reality of indicators of financial reporting.
Enterprise did not provide accurate data on the sources of funding of scientific development work, but it has been noted that in recent years development of design documents was funding with own funds. Thus, when compiled list of design documentation to reflect them in the accounting business as AT should be considered the year of establishment, funding, rights of third parties to set up IP. It also should be consider a separate procedure for determining the value of the specified IP in price not including the cost of its study.
Agreements on the establishment of scientific and technical production enterprise for the analysis is not provided, which makes it impossible to make a more detailed analysis on the origin of property rights in the design documentation sets the enterprise . However, it should be noted that according to the legal analysis some of the individual sets of design documentation were developed on demand of other companies or by agreement of cooperation.
Mandatory conditions of the agreement (contract), under which performed research and development has done, is determining the business IP rights, obligations of the parties to ensure the protection of rights to created IP, and determining the party who will pay a fee for IP owners. This contract determined the ownership of the IP, it could be developer or other party, or the state represented by another institution, agency or enterprise.
Property rights of an employer to an employee’s work arising from the creation of the work. It is desirable that their transmission was still directly provides labor or civil law contract. To avoid ambiguity in the registration of property rights interpretation of the scope of an employer to an employee’s work, it is reasonable to conclude from the employee (team workers) copyright transfer agreement at its inception, with a direct indication of the position.
At the conclusion of the official copyright treaty should also pay attention to the order of execution of work. Depending on the contract, copyrighted work may be the result of all the works created by employees during working hours, and all works created during the term of the contract, or only specific works. Therefore, it is expedient to provide for submission of the contract of service (copyright) problem which clearly outline the requirements for each piece, dates of creation and the order of transfer to the employer.
We believe that the conclusion of the author’s agreement between the employee and the employer is required to rule out further misunderstandings, disputes and litigation. With employees whose responsibilities include the ability to create objects of copyright in the process of implementation is appropriate signing the contract prior to hiring. If you create service works is more the exception than the rule, copyright transfer
agreement shall be entered into before the corresponding task execution employer.
The right to obtain a patent for an employee invention (utility model) is the employer of the inventor, the order of receipt by the following:
1. Inventor submits a written notice to the employer of the service he created an invention (utility model) with a description that reveals the essence of the invention.
2. Employer within four months of receiving notification from the inventor must:
— submit to the State Department of Intellectual Property application for a patent
— or transfer the right to receive any other person
— or decide to maintaining employee’s invention (utility model) as confidential information.
During this period, the employer must conclude a written agreement with the inventor on the amount and terms of payment him (his successors) remuneration in accordance with the economic value of an invention (utility model) and (or) other benefits that can be obtained by the employer. If an employer fails to comply with these requirements within the prescribed period, the right to obtain a patent for an employee invention (utility model) goes to the inventor or his successors. In this case, the employer is the right to buy a license.
Term storage of the employer or its successor employee’s invention as confidential information if it is no use, shall not exceed four years. Otherwise, the right to obtain a patent for an employee’s invention (utility model) goes to the inventor or his successors.
According to the analysis of the legal basis of machine-building enterprises of certain civil contracts between authors and companies do not concluded. SE «Ivchenko-Progress» took some measures concerning the protection of IP in the form of adding into employment contracts with employees and collective bargaining at the enterprise conditions that the employee is not entitled to registration over IP created by public funds in the company. However, this is not enough for the protection of the company against possible claims of employees. The author’s remuneration also not paid. As a reward for creating IP SE «Ivchenko-Progress» pays bonuses or increases salary.
Due to conflict of laws consider necessary with employee, responsibilities of which involve the creation or the ability to create service work, to conclude not only employment contracts in writing form, but also a contract that will regulate all property rights to IP created in the course of employee job duties, and also the relevant civil contracts between author and enterprise , which will regulate transfer entitlements to set up IP. This contract should clearly define the shape, size fee (as a percentage of revenue derived from the use of a work, or as a fixed amount, etc.), and the procedure for payment of royalties . Thus the
rates of royalties for the use of the work cannot be lower than the minimum rate set by the Resolution of the Cabinet of Ministers of Ukraine «On Approval of minimum rates of remuneration (royalty) for the use of copyright and related rights» № 72 dated on 18.01.2003.
Thus, as the strategic management of IP management involves intellectual and innovative potential of enterprises, the incorporation of the principles and factors shaping the strategy will allow companies to increase competitiveness and the size of the resulting profits. In our opinion, the normalization of relations on the establishment of official work will enable the company to avoid possible legal action concerning payment royalties and ensure protection of the rights and legitimate interests of both employees and the company.
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А.П. Пухальская* ПОДХОДЫ К СТРАТЕГИЧЕСКОМУ УПРАВЛЕНИЮ ИНТЕЛЛЕКТУАЛЬНОЙ СОБСТВЕННОСТЬЮ ПРОМЫШЛЕННЫХ ПРЕДПРИЯТИЙ
В статье раскрыты подходы к стратегическому управлению интеллектуальной собственностью промышленных предприятий, составляющие потенциала промышленного предприятия, факторы формирования стратегии управления ОИС. Указаны принципы формирования стратегии управления ОИС для обеспечения инновационного развития промышленных предприятий. Для разработки конкретных рекомендаций по стратегическому управлению ОИС осуществлен правовой анализ договоров и документов, связанных с ОИС промышленных предприятий Запорожского региона.
Ключевые слова: интеллектуальная собственность, стратегическое управление, потенциал, человеческий капитал, информационное обеспечение.
* Пухальская Анастасия Павловна ([email protected]), кафедра международного туризма, Запорожский национальный технический университет, 69063, Украина, г. Запорожье, ул. Жуковского, 64.
