专利保护背景下的技术供应链授权合同设计研究

doi:10.16381/j.cnki.issn1003-207x.2021.2311

Abstract

Abstract:

With the rapid growth of international trade， technology licensing cooperation between enterprises is becoming more and more popular. However， in the process of transnational technology licensing， unreasonable licensing contracts make it easy for the companies to occur patent infringement disputes. In this context， the following questions are studied： 1） in transnational technology licensing， how should the licensor design and choose the form of the technology license contract？ 2） How should production diseconomies of licensee and information asymmetry affect the design of technology license contract for licensor？ 3） How should the design of technology license contract and the domestic enterprise's production diseconomies affect social welfare？ Taking the foreign enterprise as licensor and the domestic enterprise as licensee， production scale diseconomy of domestic enterprise and information asymmetry about market demand are taken into account， and then games with incomplete information are constructed to investigate the optimal design of transnational technology licensing contract problem. On this basis， the conditions for choosing the form of transnational technology licensing contract are analyzed， and the influence of production scale diseconomy of domestic enterprise on social welfare is investigated.By solving and analyzing the constructed model， the optimal technology licensing contract and output decision under pooling equilibrium and separating equilibrium are found. Firstly， compared with the only choice of two-tariff contract to technology licensing under the pooling equilibrium， the foreign enterprise can strategically design fixed-fee contract or two-tariff contract under the separating equilibrium； Secondly， the production diseconomies of the domestic enterprise does not affect the choice of license form of the foreign enterprise， but it will prompt the domestic enterprise to reduce the output of the product and increase the price of the product. Moreover， the impact of production diseconomies on the performance of technical supply chain members depends on market conditions， but it always leads to the loss of consumer surplus and social welfare. Finally， the domestic enterprise's production outsourcing and the domestic enterprise's production economies of scale are considered to expand the analysis of this paper. The results show that， the domestic enterprise's production outsourcing and the domestic enterprise's production economies of scale will not affect the patent licensing form choice of the patent provider. Nevertheless， the impact of production outsourcing on the equilibrium of technology supply chain is uncertain， and scale economies will bring positive externalities to technology supply chain， that is the profit levels of the domestic enterprise and the foreign enterprise will increase.This paper also has some limitations. In order to focus on the design of transnational technology licensing contracts， the description of information asymmetry in domestic market demand is simplified. Therefore， when studying the problems of technology licensing in the supply chain， more influencing factors can be further considered， and the continuous random function can be used to describe information asymmetry in product market demand or disruption in demand/supply.

Key words: licensing contract, asymmetric information, production diseconomies, social welfare

CLC Number:

F273

Guanghua Xie,Zhilin Qiao,Lin Chen. Optimal Licensing Contracts of Technology Supply Chain with Patent Protection[J]. Chinese Journal of Management Science, 2024, 32(3): 198-209.

Figures/Tables 14

情形		$r N *$	$f N *$
$a ˉ > 3 a L - 2 c - 1 - ρ a H - a L$	$0 < ρ ≤ ρ N$	$ρ a H - a L$	$ρ a H - a L - a L + c 2 2 2 + b - R$
$a ˉ > 3 a L - 2 c - 1 - ρ a H - a L$	$ρ N < ρ < 1$	$a H + a L - 2 c 2$	$a H - a L 2 8 2 + b - R$
$a ˉ < 3 a L - 2 c - 1 - ρ a H - a L$	$0 < ρ < 1$	$ρ a H - a L$	$ρ a H - a L - a L + c 2 2 2 + b - R$

$i$	$r i *$	$f i *$
$H$	0	$2 ρ a H - a L 2 + 1 - ρ a L - c 2 2 1 - ρ 2 + b - R$
$L$	$ρ a H - a L 1 - ρ$	$a L - ρ a H - 1 - ρ c 2 2 1 - ρ 2 2 - b - R$

$i$	$r ˉ i *$	$f ˉ i *$	$q ˉ i *$
$H$	0	$2 ρ a H - a L 2 + 1 - ρ a L - c 2 4 1 - ρ$	$a H - c 2$
$L$	$ρ a H - a L 1 - ρ$	$a L - ρ a H - 1 - ρ c 2 4 1 - ρ 2$	$a L - ρ a H - 1 - ρ c 2 1 - ρ$

$i$	$C S i *$	$Γ i *$
$H$	$a H - c 2 2 2 + b 2$	$2 + b a H - c 2 + b a H + a H + c 2 2 2 + b 2$
$L$	$a L - ρ a H - 1 - ρ c 2 2 1 - ρ 2 b + 2 2$	$a L - ρ a H - 1 - ρ c ρ 1 + b a H - a L + 3 + b 1 - ρ a L - c 2 1 - ρ 2 2 + b 2$

$i$	$r i E *$	$f i E *$	$q i E *$	$w i E *$
$H$	0	$2 ρ a H - a L 2 + 1 - ρ a L - c 2 8 1 - ρ - R$	$a H - c 4$	$a H + 3 c 4$
$L$	$ρ a H - a L 1 - ρ$	$a H - c E ρ - a L + c 2 8 1 - ρ 2 - R$	$a L - ρ a H + 1 - ρ c 4 1 - ρ$	$a L - ρ a H + 3 1 - ρ c 4 1 - ρ$

$i$	$r i D *$	$f i D *$	$q i D *$
$H$	0	$2 ρ a H - a L 2 + 1 - ρ a L - c 2 2 1 - ρ 2 - d - R$	$a H - c 2 - d$
$L$	$ρ a H - a L 1 - ρ$	$c - a H ρ - c + a L 2 2 1 - ρ 2 2 - d - R$	$a L - a ρ H - 1 - ρ c 1 - ρ 2 - d$

References 29

1	Anand K S， Goyal M. Ethics， bounded rationality， and IP sharing in IT outsourcing［J］. Management Science， 2019， 65（11）： 5252-5267.
2	国家知识产权局. 贯彻落实“十四五”规划纲要加快建设知识产权强国发布会.（2021-04-25）［2021-05-26］. .
	CNIPA. Press Conference on Implementing the Outline of the 14th Five-Year Plan to Accelerate the Building of an Intellectual Property Power.（2021-04-25）［2021-05-26］. .
3	中国政府网. 2019年我国授权发明专利 45.3万件［EB/OL］. （2020-01-07）［2021-11-01］. .
	Chinese government website. China authorized 453，000 invention patents in 2019. （2020-01-07）［2021-11-01］..
4	Chen X， Wang X J， Xia Y S， et al. Production coopetition strategies for competing manufacturers that produce partially substitutable products［J］. Production and Operations Management， 2019， 28（6）： 1446-1464.
5	Kulatilaka N， Lin L H. Impact of licensing on investment and financing of technology development［J］. Management Science， 2006， 52（12）： 1824-1837.
6	Bagchi A， Mukherjee A. Technology licensing in a differentiated oligopoly［J］. International Review of Economics & Finance， 2014， 29： 455-465.
7	綦勇，侯泽敏. 进口国关税、异质性与外国企业技术授权［J］. 科研管理， 2016， 37（5）： 132-140.
	Qi Y， Hou Z M. Import taxes， heterogeneity and licensing of foreign firms［J］. Science Research Management， 2016， 37（5）： 132-140.
8	徐璐，叶光亮. 竞争政策与跨国最优技术授权策略［J］. 经济研究， 2018， 53（2）： 95-108.
	Xu L， Ye G L. Competition policy and the optimal licensing strategy of foreign innovators［J］. Economic Research Journal， 2018， 53（2）： 95-108.
9	Agrawal A， Bhattacharya S， Hasija S. Cost-reducing innovation and the role of patent intermediaries in increasing market efficiency［J］. Production and Operations Management， 2016， 25（2）： 173-191.
10	Chen J Y， Dimitrov S. Eco-innovation with opportunity of licensing and threat of imitation［J］. Journal of Cleaner Production， 2017， 147： 306-318.
11	叶光亮，何亚丽. 环境污染治理中的最优专利授权：固定费用还是特许权收费？［J］. 经济学（季刊）， 2018， 17（2）： 633-650.
	Ye G L， He Y L. Optimal patent licensing with Environmental regulation： royalty vs. fixed fee［J］. China Economic Quarterly， 2018， 17（2）： 633-650.
12	Chintagunta P K， Qin S J， Vitorino M A. Licensing and price competition in tied-goods markets： an application to the single-serve coffee system industry［J］. Marketing Science， 2018， 37（6）： 883-911.
13	Wu C H. Licensing to a competitor and strategic royalty choice in a dynamic duopoly［J］. European Journal of Operational Research， 2019， 279（3）： 840-853.
14	Li H， Qing Q K， Wang J， et al. An analysis of technology licensing and parallel importation under different market structures［J］. European Journal of Operational Research， 2021， 189：132-143.
15	叶光亮，王世强，陈逸豪. 混合所有制改革与最优专利授权——基于不对称信息的寡头博弈［J］. 管理科学学报， 2019， 22（11）： 54-68.
	Ye G L， Wang S Q， Chen Y H. Mixed-ownership reform and optimal licensing： oligopoly game with information asymmetry［J］. Journal of Management Sciences in China， 2019， 22（11）： 54-68.
16	叶光亮，陈逸豪，徐化愚. 混合经济与最优跨国技术授权——基于运输成本创新的空间价格歧视模型［J］. 经济学（季刊）， 2020， 19（2）： 545-566.
	Ye G L， Chen Y H， Xu H Y. Mixed economy and foreign patent licensing： a transport innovation in spatial price discrimination model［J］. China Economic Quarterly， 2020， 19（2）： 545-566.
17	Yan Q Y， Yang L. Optimal licensing in a differentiated Bertrand market under uncertain R&D outcomes and technology spillover［J］. Economic Modelling， 2018， 68： 117-126.
18	Crama P， De Reyck B， Taneri N. Licensing contracts： control rights， options， and timing［J］. Management Science， 2018， 63（4）： 1131-1149.
19	Jeon H. Licensing and information disclosure under asymmetric information［J］. European Journal of Operational Research， 2019， 276（1）： 314-330.
20	Sarmah A， De Giovanni D， De Giovanni P. Compulsory licenses in the pharmaceutical industry： pricing and R&D strategies［J］. European Journal of Operational Research， 2020， 282（3）： 1053-1069.
21	Hong X P， Govindan K， Xu L， et al. Quantity and collection decisions in a closed-loop supply chain with technology licensing［J］. European Journal of Operational Research， 2017， 256（3）： 820-829.
22	金亮，郑本荣，胡浔. 专利授权合同设计与生产外包——基于企业社会责任的视角［J］. 南开管理评论， 2019， 22（3）： 40-53.
	Jin L， Zheng B R， Hu X. Patent licensing and production outsourcing： based on the perspective of corporate social responsibility［J］. Nankai Business Review， 2019， 22（3）： 40-53.
23	Zhao J J， Wang C X， Xu L. Decision for pricing， service， and recycling of closed-loop supply chains considering different remanufacturing roles and technology authorizations［J］. Computers & Industrial Engineering， 2019， 132： 59-73.
24	金亮，郑本荣，周楠. 专利技术授权、生产外包与合同设计［J］. 中国管理科学， 2021， 29（6）： 91-104.
	Jin L， Zheng B R， Zhou N. Patent technical authorization， production outsourcing and contract design［J］. Chinese Journal of Management Science， 2021， 29（6）： 91-104.
25	Ha A Y， Tong S L， Zhang H T. Sharing demand information in competing supply chains with production diseconomies［J］. Management Science， 2011， 57（3）： 566-581.
26	Roy A， Gilbert S M， Lai G， et al. The implications of visibility on the use of strategic inventory in a supply chain［J］. Management Science， 2019， 65（4）： 1752-1767.
27	Shao L S. Competition under diseconomies of scale： the role of subcontracting and single‐sourcing commitment［J］.Decision Sciences，2018，49（1）： 154-179.
28	Yang Z B， Babich V. Does a procurement service provider generate value for the buyer through information about supply risks［J］. Management Science， 2015， 61（5）： 979-998.
29	Chen Y W， Ozer O. Supply chain contracts that prevent information leakage［J］. Management Science， 2019， 65（12）： 5449-5956.

[1]	Xuwei Qin, Yimei Zhu, Zhongzhong Jiang, Xiaoran Liu. Service-performance-based Contract Designs for Equipment Suppliers and Their Signaling Mechanisms [J]. Chinese Journal of Management Science, 2025, 33(9): 248-257.
[2]	Rui Wang, Xiuli Xu. Customer Behavior and Pricing Analysis Based on “Service Intelligence Queueing System” [J]. Chinese Journal of Management Science, 2025, 33(8): 260-270.
[3]	Yao Luo, Jianheng Zhou. Contract Selection with the Level of Separation in Dual-channel Supply Chain under Asymmetric Information [J]. Chinese Journal of Management Science, 2025, 33(6): 255-264.
[4]	Benrong Zheng. Patent Licensing Contract Design under Asymmetric Information: An Investment Spillover Perspective [J]. Chinese Journal of Management Science, 2025, 33(6): 49-62.
[5]	Xingtang Wang. Vertical Merger, Product Quality and Pricing Decision [J]. Chinese Journal of Management Science, 2025, 33(10): 149-158.
[6]	Yuhui Li, Yuyun Zhang, Faming Zhang, Debing Ni. Strategic Interaction of CSR in Supply Chain with Asymmetric Quality Information [J]. Chinese Journal of Management Science, 2025, 33(10): 304-315.
[7]	Yang Liu,Qianqian Deng,Zhiping Fan,Qi Zhang. Research on Ride-hailing Platform’s Open Platform Strategy and Its Efficiency Analysis [J]. Chinese Journal of Management Science, 2024, 32(9): 82-92.
[8]	Xiaona Li,Weimin Ma. Water Saving Service Outsourcing for High Water Consumption Enterprises under Demand Uncertainty [J]. Chinese Journal of Management Science, 2024, 32(8): 230-240.
[9]	Xiang Liu,Zhaojun Yang,Suhua Liu. Bayesian Equilibrium Analysis with Information Asymmetry and Credit Guarantee [J]. Chinese Journal of Management Science, 2024, 32(7): 1-10.
[10]	Wenbin Wang,Ye Liu,Shiyuan Quan,Luosheng Zhong,Jia Lv. Research on Government Subsidy Model of Dual-sales Channel Closed-loop Supply Chain [J]. Chinese Journal of Management Science, 2024, 32(7): 258-269.
[11]	Yongjie Dong,Chenguang Liu,Mengyuan Zhao. Production Decision of Manufacturer Considering By-product Synergy under Environmental Tax Policy [J]. Chinese Journal of Management Science, 2024, 32(7): 76-83.
[12]	Liang Jin,Haitao Lu. Technology Licensing and New Product Introduction: Based on the Perspective of Multination Competition and Cooperation [J]. Chinese Journal of Management Science, 2024, 32(6): 98-108.
[13]	Zhiqiang Wu,Jingqi Wang,Yan Gao. Social Welfare Analysis of Real-time Pricing [J]. Chinese Journal of Management Science, 2024, 32(3): 218-227.
[14]	Ying SUN,Hui-ping LIU,Rui YAN,Qun ZHANG. Equilibrium Optimization of the Supply Chain of Emergency Medical Supplies Based on Resilience and Social Welfare [J]. Chinese Journal of Management Science, 2023, 31(8): 132-141.
[15]	LI Zhong-ping, WANG Jian-jun. High-Quality Service Capacity Reallocation Decision and Profit-Sharing Coordination Scheme Design in the Hierarchical Healthcare Systems [J]. Chinese Journal of Management Science, 2023, 31(4): 205-217.

Optimal Licensing Contracts of Technology Supply Chain with Patent Protection

RichHTML

PDF (PC)

Knowledge

Abstract

Cite this article

share this article

Figures/Tables 14

References 29

Related Articles 15

Metrics

Comments

Recommended 0