专利许可谈判行为与决策模型研究

Effective strategies for dealing with patent licensing have been attracting greater interest amongst enterprises due to acceleration in high-tech development and rapidly expanding international trade. In a modern society, patent licensing is a widely accepted approach, viewed as a form of formal transaction. It allows for a licensee to implement the patented technology for future applications, and in return, pay royalties to a licensor for the potential value of the patents provided. Until recently, most patent licensing activities were face-to-face talks, however, due to complexities and uncertainty during the negotiation processes of a patent licensing transaction, asymmetric information between licensors and licensees exists. This can hinder a fare and optimal solution for licensing transactions. This research attempts to: (1) Design a comprehensive analysis framework for patent licensing, and study how the external environment and internal technical ability affect the licensing strategy during negotiations and rational decision-making in different scenarios; (2) Explore the orientations of Hofstede's five cultural dimensions with TKI conflict approaches to find out how the culture influences the choice of dispute resolving strategies in patent licensing; (3) Design a multi-agent negotiation system that employs Genetic Algorithms (GA) for automatically choosing best-fit strategies for patent licensing matching. Based on some realistic conditions provided by experts, this automated negotiation system will be able to conduct preliminary negotiation activities between licensees and licensors. (4) Construct a simulation system and make an empirical study for patent licensing, and its implementation results will be evaluated by scientific method; (5) Build a knowledge database of patent licensing issues. We hope that this research has the potential for handling multi-attribute based negotiations to achieve the lower costs and higher efficiency.

随着"智者生存"哲学、开放式创新模式以及"创新市场化"理念成为知识经济时代企业创新的主导，以实现专利潜在价值为目标的专利许可活动及其相关战略对于指导企业获取竞争优势显得越来越重要。本项目研究构造了专利许可的综合分析框架，将专利许可纳入技术创新体系，研究不同情境下外部环境和内部技术如何作用于许可主体，使其针对许可协议要素进行谈判和理性决策，进而影响技术创新绩效；采用Hofstede分析模型，从五个不同维度对不同国别之间的三种许可组合情况进行专利许可文化倾向研究，并通过TKI冲突模式与Hofstede国家文化维度模型的交互作用分析专利许可领域的冲突处理风格；探讨专利许可平台的作用机理，设计嵌入GA的Multi-agent系统以帮助自动形成最佳策略，完成双方的匹配，实现许可活动的智能化；构建专利许可仿真系统，并选择典型案例进行实证研究，进而对其实施效果进行科学评价；建造专利许可数据库。

本研究构建了专利许可的成因及机理体系，并分别从法律、经济和技术角度分析了专利许可的必要性，研究发现外部环境以及内部技术能力共同作用于专利许可决策，初步探讨了从许可协议以及合同的角度如何防范专利许可的风险；针对中国大陆专利许可中发生的冲突及其处理模式问题，运用霍夫斯泰德文化维度和托马斯—克尔曼二维冲突处理模式的交互影响作用，结果表明：影响中国大陆专利许可冲突处理模式的主要文化维度为弱不确定性规避、阳刚气质和低权力距离；冲突双方倾向于选择合作与竞争的方式处理冲突。对比研究中发现，不同行业中文化维度对于专利许可冲突处理模式的影响程度有所不同；通过分析专利许可谈判双方的需求以及最佳策略，设计嵌入GA的Multi-agent模型以帮助企业完成双方的匹配和冲突谈判方案的选择；基于我国专利许可备案合同数据的分析，并选择典型企业进行实证研究，进而对其实施效果进行评价。