跨國企業併購之技術交易理論與實際——論營業秘密保護與科技交易管制

全球化使得各產業於國際舞台上競爭激烈，跨國企業為取得優勢地位而採取併購之案例日增，無論是否以取得技術為主要目的，個案所考量因素均有所差異；以此為前提，本文先以企業經營與管理學說之角度切入，臚列跨國企業併購預期之效益為何，尤其在取得智慧資產獲致之效益層面，如何在分析經營模式與技術佈局等相關要素後，藉由法律規範之併購手段達成。其次，本文挑選三件跨國企業併購之案例，針對事實背景、併購交易進程與國家管制等層面進行整理，作為初步瞭解本文所探討爭議之實際運作範疇。接著，借鏡知識管理學說對於智慧資產之定義、法律學說對於併購當事方最終利害歸屬狀態之歸納，本文嘗試研析，併購手段如何影響個案技術交易效果展現，以及將經營控制權參入程度、利益狀態作為主軸，如何使當事方所擁有之智慧資產在動態交易過程中，實現分層設限、有限或逐步揭露之技術資訊保護，亦即，除卻業已對外公開揭露之專利內容，為周全維繫當事方主觀上對其技術資訊保護之前提，所對應併購手段採納之相關步驟，包括簽訂保密協議、智慧資產估價程序與盡責調查等階段，以建構彈性且適切之保護網。又因技術資訊之保護，除在積極進行知識管理之面向得增益跨國企業繼續經營之優勢、達成併購綜效外，對應至技術擁有人依據法律規範主張保護之面向，國際條約、各國相關法制主要以營業秘密保護法為論，普遍將保護措施涵納為保護要件，是以，本文以組織層面、人事層面兩者為本，以知識管理與法律規範交織，闡述跨國企業本身如何管理、調整控制技術資訊之近用權限，在科技發展與法制演進之潮流下建立、尋求適當保護措施。架接於技術資訊保護建置之後，因我國針對技術保護係以營業秘密法為主軸，受美國法制影響甚深，本文爬梳美國營業秘密保護法制之相關理論與修訂沿革，加以對照我國現行營業秘密法規範內容，並陳學說對於營業秘密究屬權利或利益之爭議；進一步透過民事責任辯證，本文引用學者看法，對於營業秘密性質有無強行區分之必要性提出意見，並自保護「利益」為出發觀點，檢討我國現行法制不合理或闕漏處，提出細緻化之建議。循法益辨正為途，本文就經濟全球化之影響下，內國產業所擁有之技術內容如何提升至足致威脅國家安全之地位，以二次世界大戰後之美國規範與全球政治局勢背景作為雛形，開展國家管制在時代脈動與科技演進下，不容於國內重要基礎設、敏感技術有流出或被外國控制之時，以契約自由與市場機制為由，退居幕後而缺席；進一步，以美國外國投資委員會及相關國家安全規範為範例，討論我國現行針對跨國企業獲取我國產業技術之管制有何疏漏，並就行政院與立法院接連提出之敏感科技保護法草案評析、淺論意見。

關鍵字

經濟全球化；跨國企業；併購；技術交易；營業秘密；經濟間諜；國家安全；國家管制；敏感科技；外國投資審查

並列摘要

Globalization has made competition in international markets much fiercer than ever. Under this trend, multinational enterprises are using ways to access creation and assimilation of knowledge, typically by cross-border mergers and acquisitions (hereinafter cross-border M&A). While cross-border M&A as means for multinational enterprises to gain competitive advantage, there are many factors to be considered prior to the actual process. Starting from this aspect, first, we enumerate several benefits of cross-border M&A, especially the need of extending level of strategic technological capability. How to achieve the goal by analyzing enterprises’ business plans and technology portfolio, accords with specific method under M&A. We then draw the definition of intellectual capital of knowledge management, observing the final outcome of interests in general, to elaborate which method is better to use to fully learn tacit knowledge after transaction on technologies. With different level of control and distribution of interests, how to realize hierarchical management of technological information, limited or gradual disclosure as such. That is, except for content of technology which is publicly accessible after 18 months of the patent application, we ought to take necessary measures to ensure technology (and such information) is secretly kept under protection as long as we intend to possess the advantage in competing. Measures shall be taken in different stages of M&A, including but not limited to signing a non-disclosure agreement (NDA), proper way of disclosure during evaluation of intangible asset and due diligence while the seller is seeking the price offer being satisfying. Aiming at connecting practical situations to theories, we picked three cases to show facts and background, process of cross-border M&A and regulation of government. Since the protection of technology corresponds to the aspect of owner asserting his or her rights against the person who violates laws, it is certainly important to understand, even further to analize what are the elements to claim. Though treaties and various countries could have different regulations, reasonable measures for maintaining secrecy is in general needed. Thus, focusing on human capital and organizational structure these two dimensions, we try to constitute the necessity of monitoring and control of the access of technology (and such information), so as to persue adequate protection under technological development. For dealing with risks during transaction of technologies, we put emphasis on protection theories of trade secrects, as Trade Secrect Act of Taiwan derives mainly from United States. Besides, we quote the idea of the scholar which is not to distinguish the essence of trade secret when it comes to the cause of civil liability, either it is property right or merely pure economic interest, further taking a close look to the need of regulation amendment. To thoroughly protect critical technology in the long run, there is a more appropriate route than seeing it solely as trade secret, which is the necessity of government control on cross-border M&A. As one of typical means of Foreign Direct Investment (FDI), controlling cross-border M&A is not only vital to antitrust regulation but also to national security, especially its definition is a foreign investor exerts direct control over critical domestic assets. According to Foreign Investment and National Security Act of 2007 (FINSA) and regulations issued, The Committee on Foreign Investment in the United States (CFIUS) reviews the transaction to decide whether to further investigate a case as it determinates the investment “threatens to impair the national security of the United States.” Included in factors to be considered, involvement of critical infrastructure indicates an obvious phenomenon, of which technology has elevated a lot to become key element of national strength. We then discuss what are omissions under FDI and outward investment regulation nowadays in Taiwan, with suggestions toward the draft of Sensitive Technology Protection Act.

並列關鍵字

Economic globalization ； Multinational enterprise ； Cross-border mergers and acquisitions, Technology transactions ； Trade secret ； Economic espionage ； National security ； Government regulation ； Sensitive technology ； Foreign direct investment review ； CFIUS

參考文獻

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跨國企業併購之技術交易理論與實際——論營業秘密保護與科技交易管制

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