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中国管理科学 ›› 2021, Vol. 29 ›› Issue (7): 96-109.doi: 10.16381/j.cnki.issn1003-207x.2019.1052

• 论文 • 上一篇    下一篇

CSR投入下产品质量决策与专利授权合同设计

郑淑芳1, 金亮1, 刘颖2   

  1. 1. 南昌大学经济管理学院, 江西 南昌 330031;
    2. 上海立信会计金融学院, 上海 201620
  • 收稿日期:2019-07-18 修回日期:2019-10-22 出版日期:2021-07-20 发布日期:2021-07-23
  • 通讯作者: 刘颖(1985-),女(汉族),河北霸州人,上海立信会计金融学院,副教授,博士,研究方向:运筹学,组合数学,E-mail:20200031@lixin.edu.cn. E-mail:20200031@lixin.edu.cn
  • 基金资助:
    教育部人文社会科学研究青年基金资助项目(19YJC790200);江西省社会科学"十三五"规划青年项目(19GL40;20GL35);江西省"双千计划"首批培养类哲学社会科学领军人才项目(jxsq2019203033)

Product Quality Choice and Patent licensing under Corporate Social Responsibility Investment

ZHENG Shu-fang1, JIN Liang1, LIU Ying2   

  1. 1. School of Economics and Management, Nanchang University, Nanchang 330031, China;
    2. Shanghai Lixin University of Accounting and Finance, Shanghai 201620, China
  • Received:2019-07-18 Revised:2019-10-22 Online:2021-07-20 Published:2021-07-23

摘要: 良好的专利授权有助于激发企业持续创新的动力,实现专利技术的商业化和产业化,而产品质量则是决定企业能否取得市场竞争优势的关键。本文针对由专利持有企业和品牌企业组成的系统,考虑市场需求信息不对称以及品牌企业承担社会责任(Corporate social responsibility, CSR),研究品牌企业产品质量决策和专利授权合同设计问题,进而分析CSR投入对各个企业利润、消费者剩余以及社会福利的影响。研究结果表明:不同市场条件下,专利持有企业会策略性地设计专利授权合同形式,即选择仅包含"一次性固定授权费"或者"一次性固定授权费+版税提成"的专利授权合同;品牌企业CSR投入并不会影响专利授权合同的形式,但会提高一次性固定授权费;CSR投入会促使品牌企业提高产品质量,但并不一定会导致产品销售价格的提高;CSR投入虽然会降低品牌企业利润,但能有效提升专利持有企业利润、消费者剩余和社会福利。

关键词: 企业社会责任, 专利授权, 产品质量, 不对称信息

Abstract: Good quality of patent licensing would stimulate company to continuous innovation, realize the commercialization and industrialization of patented technology. However, corporate irresponsible behavior has frequently occurred, which caused a series of social problems and played a negative impact on the cooperation of patent licensing. Thus, a series of documents have issued to encourage enterprises to fulfill corporate social responsibilities (CSR). When branded manufacturer fulfill corporate social responsibilities, does the CSR investment really help to improve product quality? How to design the patent licensing?
Focusing on these questions, a two-stage game is built to describe the operations of patent owner and branded manufacturer in the presence of asymmetric information and corporate social responsibility. In the first stage, the patent owner design the patent licensing and license its technology to branded manufacturer; In the second stage, the branded manufacturer use the technology to produce products and sell them to consumers. In this model, it is assumed that the product demand may be in two different ex ante quantity states:high and low. The true product demand cannot be observed by patent owner, but branded manufacturer can learn. The patent owner design the patent licensing to branded manufacturer in different product demand, then branded manufacturer use the technology to produce and determine the product quality and sale price. Finally, it is assumed that the branded manufacturer is equipped with CSR preference which is represented by the degree of branded manufacturer cares about consumer surplus.
The analysis process is as follows. Firstly, we examine how CSR investment affect the patent licensing and product quality; Secondly, analyze the effect of CSR on the profit of patent owner and branded manufacturer; Finally, investigate the influence of CSR on consumer surplus and social welfare. The results show that:Patent owner would design the licensing contract of ‘fixed-fee’ in high product demand and ‘two-part tariff’ in low product demand; The CSR does not affect the form of licensing contract, but increase the fixed fee; A higher of product demand leads to a higher level of product quality, consumer surplus and profit for patent owner, but may not a higher level of sale price; CSR investment helps to enhance the product quality level, consumer surplus and the profit of patent owner, but decrease the profit of branded manufacturer; In the whole, the CSR investment has a positive impact on social welfare.
The innovation of this paper, is not only extends the research of patent licensing and reveals the impact of corporate social responsibility, but also provides a theoretical basis for decision-making of patent owner and branded manufacturer.

Key words: corporate social responsibility, patent licensing, product quality, asymmetric information

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