發(fā)布時(shí)間：2018-03-27 09:13

  本文選題：技術(shù)授權(quán)　切入點(diǎn)：技術(shù)創(chuàng)　出處：《暨南大學(xué)》2008年博士論文

【摘要】： 理論上,對(duì)技術(shù)授權(quán)的研究多是集中在對(duì)技術(shù)授權(quán)契約的研究上,其中,對(duì)因不對(duì)稱信息所引起的道德風(fēng)險(xiǎn)和逆向選擇條件下的授權(quán)契約研究,則成為研究焦點(diǎn)。而這些研究一是忽視了研究信息不對(duì)稱下被授權(quán)方的逆向選擇行為對(duì)社會(huì)福利的影響;二是忽視了研究當(dāng)本國廠商具備創(chuàng)新能力或者合作創(chuàng)新能力時(shí),國外技術(shù)授權(quán)契約的形成及其對(duì)國內(nèi)社會(huì)福利的影響,更沒有具體結(jié)合國內(nèi)廠商的創(chuàng)新效率、成本、效益來具體研究國內(nèi)創(chuàng)新活動(dòng)對(duì)技術(shù)授權(quán)、社會(huì)福利的影響。 本文以現(xiàn)有研究為基礎(chǔ),在區(qū)分不同的市場(chǎng)結(jié)構(gòu)和專利權(quán)人是否參與市場(chǎng)競(jìng)爭(zhēng)的前提下,探討了技術(shù)被授權(quán)方的私人信息、國內(nèi)廠商的創(chuàng)新能力以及本國政府對(duì)創(chuàng)新的鼓勵(lì)政策等因素對(duì)技術(shù)授權(quán)契約形成的影響,再分析該契約對(duì)社會(huì)福利的影響。 當(dāng)專利權(quán)人不參與國內(nèi)壟斷市場(chǎng)競(jìng)爭(zhēng)時(shí),技術(shù)被授權(quán)方存在的私人信息將導(dǎo)致混合費(fèi)用授權(quán)方式的出現(xiàn)。雖私人信息可使國內(nèi)廠商獲取額外的信息租金,但社會(huì)福利將會(huì)遭受更多損失。當(dāng)國內(nèi)廠商具備創(chuàng)新能力時(shí),可利用其迫使專利權(quán)人降低技術(shù)授權(quán)價(jià)格;另外,不對(duì)稱創(chuàng)新效率信息可降低技術(shù)授權(quán)費(fèi)用,還可以提升國內(nèi)社會(huì)福利水平。政府對(duì)國內(nèi)廠商的研發(fā)補(bǔ)貼可激勵(lì)國內(nèi)廠商創(chuàng)新的積極性,增加國內(nèi)社會(huì)福利水平。 當(dāng)專利權(quán)人參與國內(nèi)壟斷市場(chǎng)競(jìng)爭(zhēng)時(shí),信息對(duì)稱情況下的授權(quán)方式是提成費(fèi)用方式;當(dāng)國內(nèi)廠商存在私人信息時(shí),混同均衡策略或擇優(yōu)授權(quán)策略將出現(xiàn)。當(dāng)國內(nèi)廠商具備創(chuàng)新能力時(shí),專利權(quán)人最優(yōu)授權(quán)策略仍采取提成費(fèi)用的授權(quán)策略,但將降低提成費(fèi)用。政府對(duì)國外廠商進(jìn)行征稅可增加國內(nèi)廠商的市場(chǎng)份額和利潤,但對(duì)授權(quán)方式?jīng)]影響;對(duì)研發(fā)補(bǔ)貼則可增強(qiáng)國內(nèi)廠商的研發(fā)動(dòng)機(jī),降低技術(shù)授權(quán)的價(jià)格;另外,這兩種政策措施都可以增進(jìn)社會(huì)福利。 當(dāng)專利權(quán)人不參與國內(nèi)寡頭市場(chǎng)競(jìng)爭(zhēng)時(shí),在信息對(duì)稱的條件下,較小的市場(chǎng)規(guī)模將使專利權(quán)人采用固定費(fèi)用方式只對(duì)低成本廠商進(jìn)行授權(quán);而較大的市場(chǎng)規(guī)模將使其采用提成費(fèi)用方式對(duì)兩個(gè)國內(nèi)廠商同時(shí)授權(quán)。在信息不對(duì)稱的條件下,授權(quán)方式與信息對(duì)稱時(shí)相似,但優(yōu)勢(shì)成本廠商的低成本類型可獲得額外的信息租金。當(dāng)一個(gè)國內(nèi)廠商具備研發(fā)能力時(shí),專利權(quán)人對(duì)另一廠商的授權(quán)可增加國內(nèi)消費(fèi)者剩余,但自主研發(fā)廠商的利潤減少了。當(dāng)兩國內(nèi)廠商都具有創(chuàng)新能力時(shí),其最優(yōu)的合作創(chuàng)新方式取決于彼此間技術(shù)外溢程度。合作創(chuàng)新不僅可以提升廠商利潤和社會(huì)福利,而且當(dāng)其考慮技術(shù)授權(quán)時(shí)可以進(jìn)一步降低技術(shù)授權(quán)中的價(jià)格。 當(dāng)專利權(quán)人參與國內(nèi)寡頭市場(chǎng)競(jìng)爭(zhēng)時(shí),對(duì)于兩個(gè)無研發(fā)能力的國內(nèi)廠商,專利權(quán)人將采用提成費(fèi)用方式對(duì)其同時(shí)授權(quán),此時(shí)國內(nèi)社會(huì)福利水平?jīng)]有發(fā)生任何改變。若有一國內(nèi)廠商具有研發(fā)能力,固定費(fèi)用的授權(quán)方式將被用來對(duì)另一廠商授權(quán),使得國內(nèi)的消費(fèi)者剩余增加了,選擇創(chuàng)新廠商的利潤減少了。若兩國內(nèi)廠商都具備創(chuàng)新能力,存在最優(yōu)的合作創(chuàng)新方式,彼此間的技術(shù)外溢程度和創(chuàng)新效率將決定其利潤和社會(huì)福利,同時(shí)還可以提高國內(nèi)廠商在技術(shù)授權(quán)中的談判砝碼。 最后,以國內(nèi)高新技術(shù)產(chǎn)業(yè)1995-2005年的數(shù)據(jù)對(duì)技術(shù)授權(quán)、技術(shù)創(chuàng)新與企業(yè)效益之間的關(guān)系作了一個(gè)經(jīng)驗(yàn)分析。發(fā)現(xiàn)國內(nèi)企業(yè)的RD投入與技術(shù)引進(jìn)之間存在著一個(gè)相互依賴、相互促進(jìn)的關(guān)系。國內(nèi)企業(yè)的RD投入對(duì)企業(yè)效益的影響具有直接的、明顯的推動(dòng)作用;技術(shù)引進(jìn)對(duì)當(dāng)期的企業(yè)效益影響具有輕微的抑制作用,但技術(shù)引進(jìn)對(duì)企業(yè)效益的影響是通過間接的、滯后的方式顯示出來,通過形成固定資產(chǎn)和刺激RD投入而提高企業(yè)效益。
[Abstract]:On the other hand , the research on technical authorization is focused on the research of technical authorization contract , which is the focus of research on the research of authorization contract under the conditions of moral hazard and adverse selection caused by asymmetric information .


On the basis of the existing research , this paper discusses the influence of the private information of the authorized party , the innovation ability of the domestic manufacturers and the encouragement policy of the government to the innovation , and analyzes the effect of the contract on the social welfare under the premise of distinguishing whether different market structures and patent owners are involved in the market competition .


When the patent owner does not participate in the domestic monopoly market competition , the private information of the authorized party of the technology will lead to the appearance of the mixed fee authorization mode . Although the private information can make the domestic manufacturers obtain extra information rent , the social welfare will suffer more losses . When the domestic manufacturers have the creative ability , they can be used to force the patent holder to lower the technical authorization price . In addition , the asymmetric innovation efficiency information can reduce the technical authorization fees and improve the domestic social welfare level . The government ' s R & D subsidies for domestic manufacturers can stimulate the initiative of domestic manufacturers to innovate , and increase the domestic social welfare level .


When the patent owner participates in the competition of the domestic monopoly market , the authorization mode under the information symmetry condition is the expense mode ; when the domestic manufacturer has the creative ability , the mixed equilibrium strategy or the preferential authorization strategy will appear . When the domestic manufacturer has the innovation ability , the patent owner ' s optimal authorization policy still adopts the authorization strategy of raising the cost , but it will reduce the cost of authorization . The government can increase the domestic manufacturers ' market share and profit , but it has no effect on the authorization mode ; and the R & D subsidy can enhance the R & D motivation of the domestic manufacturers and reduce the price of technical authorization ; besides , both policy measures can improve social welfare .


When the patent owner does not participate in the domestic oligopolistic market competition , under the condition of information symmetry , the smaller market size will enable the patent owner to use fixed cost method only to authorize the low - cost manufacturers . When the information is asymmetric , the authorization mode is similar to the information symmetry , but the profit of the independent R & D manufacturers is reduced . When a domestic manufacturer has the capability of developing innovation , the optimal cooperative innovation mode depends on the degree of technology overflow with each other . The cooperation innovation can not only improve the profit and social welfare of the manufacturer , but also can further reduce the price in the technical authorization when considering the technical authorization .


When the patent owner participates in the domestic oligopolistic market competition , in the case of two domestic manufacturers that have no R & D capability , the patent owner will authorize the two countries without R & D capability at the same time . At this time , there is no change in the domestic social welfare level . If a domestic manufacturer has the R & D capability , the authorization mode of the fixed fee will be used to authorize another manufacturer , so that the surplus of the domestic consumer is reduced . If both domestic manufacturers have the innovation ability , there is an optimal cooperative innovation mode , the technology spillover degree and the innovation efficiency of each other will determine its profit and social welfare , and meanwhile , the negotiation weight of the domestic manufacturers in the technical authorization can be improved .


At last , the relationship between technology authorization , technological innovation and enterprise benefit is analyzed with the data of domestic high - tech industry in 1995 - 2005 .

【學(xué)位授予單位】：暨南大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2008
【分類號(hào)】：F224;F062.4

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 吳延兵;創(chuàng)新、溢出效應(yīng)與社會(huì)福利[J];產(chǎn)業(yè)經(jīng)濟(jì)研究;2005年02期

2 李仁耀;黃金樹;;垂直品質(zhì)差異與技術(shù)授權(quán)策略選擇[J];產(chǎn)業(yè)經(jīng)濟(jì)研究;2006年04期

3 張弘;寇宗來;;自主創(chuàng)新能力、專利許可與市場(chǎng)結(jié)構(gòu)[J];產(chǎn)業(yè)經(jīng)濟(jì)研究;2006年05期

4 龔艷萍,周育生;基于R&D溢出的企業(yè)合作研發(fā)行為分析[J];系統(tǒng)工程;2002年05期

5 張倩肖;馮根福;;三種R&D溢出與本地企業(yè)技術(shù)創(chuàng)新——基于我國高技術(shù)產(chǎn)業(yè)的經(jīng)驗(yàn)分析[J];中國工業(yè)經(jīng)濟(jì);2007年11期

6 楊亞平;;FDI技術(shù)行業(yè)內(nèi)溢出還是行業(yè)間溢出——基于廣東工業(yè)面板數(shù)據(jù)的經(jīng)驗(yàn)分析[J];中國工業(yè)經(jīng)濟(jì);2007年11期

7 隋廣軍;申明浩;宋劍波;;基于專利水平地區(qū)差異的高科技產(chǎn)業(yè)化問題研究[J];管理世界;2005年08期

8 張?jiān)i;科技創(chuàng)新與最優(yōu)專利轉(zhuǎn)讓方式的選擇問題[J];經(jīng)濟(jì)科學(xué);2005年02期

9 張倩肖;;外商直接投資、市場(chǎng)競(jìng)爭(zhēng)及對(duì)我國制造業(yè)的技術(shù)外溢效應(yīng)———基于隨機(jī)前沿生產(chǎn)函數(shù)的分析[J];經(jīng)濟(jì)學(xué)家;2007年03期

10 王子君,張偉;外國直接投資、技術(shù)許可與技術(shù)創(chuàng)新[J];經(jīng)濟(jì)研究;2002年03期

相關(guān)博士學(xué)位論文 前2條

1 郭紅珍;基于非合作寡占模型的技術(shù)許可研究[D];華北電力大學(xué)（北京）;2006年

2 李攀藝;基于非對(duì)稱信息的專利許可機(jī)制研究[D];重慶大學(xué);2007年

，

本文編號(hào)：1670913