面向过程管理的高校专利转移平衡机制研究

The university patent transfer is a complex technological and economic process including invention disclosure, patent application, patent maintenance and patent commercialization. However, many previous studies only focus on the last stage. In addition, little theoretical or empirical research in Chinese university invention disclosure or patent application is found possible as a result of much difficulty in developing mathematical model or data collection. Therefore, this research aims to narrow these gaps through employing process management and balancing mechanism in Chinese university patent transfer. First, this research develops series of theoretical models to simulate all stakeholders’ decision-making in the whole process of patent transfer while considering the influence of moral hazard and adverse selection. Second, this research demonstrates the importance of improving university patent ownership by using propensity score matching. Meanwhile, based on the theory of Principal-Agent and Signal Game, this research investigates how to use the mechanism of revenue management, contract design, and risk sharing to balance all stakeholders’ benefit and risk. Finally, this research examines the important role of public policies on university patent transfer by using questionnaire and expert interviews, and then a new management system is proposed. From the perspective of theoretical level, this research extends all stakeholders’ behaviors, and mainly inspects the balancing mechanism throughout the stage of invention disclosure, patent application/maintenance/commercialization. In the real world, Chinese universities put little emphasis on faculty invention disclosure or patent application or patent maintenance. This research attempts to build a systematic process management system to improve this unsatisfactory situation.

高校专利转移必须依托于发明披露、专利申请、维护及运营构成的完整过程，而当前关于该过程的研究却较为薄弱。为此，本课题首先厘清专利转移全过程中高校、教师、企业三方的行为构成；其次通过国别研究和倾向得分匹配分析，指出政府应改进专利权属制度以平衡各方权利诉求；再次，运用委托-代理和信号博弈模型，提出高校应通过收益分配、契约组合及风险分摊机制实现收益平衡和风险平衡；最后，通过专家访谈和问卷调查验证这些平衡机制的可行性，得出高校专利转移政策建议。针对研究意义，在理论层面，本课题提出高校专利转移需实施过程管理，明确平衡机制发挥的作用；在现实层面，我国高校忽视发明披露、专利申请与维护环节的管理，本课题面向过程管理，构建系统化的高校专利成果治理模式和专利转移促进政策，力图缓解甚至消除这些不足。

近年来，高校专利转移已成为国家创新驱动发展战略的重要实施路径之一；然而，我国高校专利转移绩效不高也是不争事实。如何在充分平衡高校专利转移参与各方权益与风险基础上实施有效激励，这已成为学界与政策制定者共同关注的核心话题。本项目通过调研和国别比较研究发现，高校专利转移通常需要经历发明披露、专利申请、专利维护、专利运营四个环节。以往我国聚焦单一环节、单一主体的政策设计难以有效推动高校专利转移整体绩效的提升，亟需对专利转移的全局开展研究，指导政策实践。..本项目聚焦高校专利转移全过程，通过专家访谈和文献研究掌握高校专利转移各方的参与动机、行为特征及潜在利益冲突；进而在此基础上，通过理论和实证模型分析参与各方的行为优化机制；最后，基于定性和定量研究结果，提出针对性政策建议。..研究发现：（1）我国高校教师发明披露率约为86%，提高发明披露率有助于改善高校专利申请量和研发支出回报率；（2）教师会关注同行竞争者的研究水平和规模，基于利益最大化视角选择论文发表、专利申请或继续研发策略；（3）财政资助发明的权属制度改革可以解决权益不平衡问题，旁支付自执行契约能够较好地解决高校专利转移中教师与企业之间的双边道德风险问题。由此，本项目提出了优化高校专利转移参与各方行为的政策建议：（1）高校应兼顾原创导向和结果导向的学术声誉激励机制以及经济激励机制，引导教师选择合理的披露策略；（2）充分平衡组织和个体权益，发挥介入权作用，打造中国版“拜杜规则”，同时通过“中立化”的税收制度切实降低参与各方应税负担，合理分配政府-个体、政府-高校之间的转移转移收益；（3）建立高校专利转移的全链条管理模式和相应的考核体系，重点加强区域和组织层面的作用发挥，加强反馈和自我修正机制。