• 中国科学学与科技政策研究会
  • 中国科学院科技战略咨询研究院
  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2023, Vol. 41 ›› Issue (2): 286-295.

• 科技管理与知识管理 • 上一篇    下一篇

基于风险矩阵的技术许可违约风险管理研究

谢瑞强1,朱雪忠2   

  1. 1. 同济大学经济与管理学院
    2. 同济大学
  • 收稿日期:2021-12-06 修回日期:2022-02-10 出版日期:2023-02-15 发布日期:2023-02-15
  • 通讯作者: 谢瑞强
  • 基金资助:
    国家重大科技产业项目知识产权安全风险监测预警与防控体系

Research on risk management of technology license default based on risk matrix

  • Received:2021-12-06 Revised:2022-02-10 Online:2023-02-15 Published:2023-02-15

摘要: 技术许可作为重要的技术转移和成果转化方式,在中国经济从成本驱动向科技驱动转型期中的作用日益凸显。由于信息不对称在技术许可过程中的广泛存在,技术许可双方在缔约环节、支付环节、移转环节、实施环节中均可能因各种主客观因素产生违约风险。对各类违约风险进行及时动态管理成为技术许可决策者的重要需求,但现有研究和理论却缺乏对此类诉求的解决和回应。研究从技术许可关键环节的违约风险识别入手,总结了许可过程中基于信息不对称产生的主要风险因素,构建了基于风险矩阵方法的技术许可违约风险分析和量化系统,并结合风险矩阵判断提出了主要技术许可违约风险的应对策略和方式。研究结论和建议可为技术许可的相关方和决策者的违约风险管理行动提供重要参考。

Abstract: During the transition period of China’s economy from cost-driven to technology-driven, technology licensing, as a key approach of technology transference and transformation, plays an increasingly prominent role. Due to the universality of information asymmetry in the technology licensing process, both parties of technology licensing may have the risk of breach of contract due to various subjective and objective factors in the process of contracting, payment, transfer and implementation. dynamic management timely of various default risks is an important demand for technology licensing decision-makers, while solutions and responses to this demand are insufficient in existing research or theories. In this paper, default risks in the key steps of technology licensing are identified; the main risk factors in the licensing process, originating from information asymmetry among technology licensing subjects, are summarized; a quantitative analysis system for technology licensing default risks, based on the risk matrix method, is constructed; and strategies and methods, combined with risk matrix judgment, for dealing with the risks of major technology licensing defaults are proposed. The conclusion and suggestion of this paper can contribute to default risk management practice for stakeholders and decision-makers of technology licensing.