消费者剩余、技术许可选择与双边政府R&D补贴

科研管理 ›› 2012, Vol. 33 ›› Issue (2): 88-96.

消费者剩余、技术许可选择与双边政府R&D补贴

赵丹¹, 王宗军^1,2

1. 华中科技大学管理学院,湖北武汉 430074;
2. 武汉工程大学管理学院,湖北武汉 430205

收稿日期:2010-06-11 修回日期:2010-11-01 出版日期:2012-02-27 发布日期:2012-02-28
作者简介:赵丹(1983-),男(汉),河南洛阳人,华中科技大学管理学院博士生,研究方向为博弈理论与应用,技术创新管理,产业组织理论。
王宗军(1964-),男(汉),山东青岛人,华中科技大学管理学院教授、科技管理与知识产权系主任、博士生导师,武汉工程大学管理学院兼职院长,研究方向为企业创新管理,财务金融管理,企业投资评价。

Consumer surplus, choice of technology licensing, and bilateral government R&D subsidy

Zhao Dan¹, Wang Zongjun^1,2

1. School of Management, Huazhong University of Science and Technology, Wuhan 430074, China;
2. School of Management, Wuhan Institute of Technology, Wuhan 430205, China

Received:2010-06-11 Revised:2010-11-01 Online:2012-02-27 Published:2012-02-28

摘要/Abstract

摘要： 放松第三市场模型假定条件,引入企业技术许可这一策略性行为,建立一个四阶段的双寡头研发竞赛博弈模型,利用非合作博弈中常用的逆推归纳法,来考察具有不完全议价能力的竞争企业各自的政府在考虑消费者剩余时最优的研发政策。研究结论表明:首先,各国政府对本国消费者剩余的考虑影响其对本国企业研发的补贴率,进而影响竞争企业的研发行为。其次,只有当技术领先企业进行较小程度的非显著创新时,技术许可这一策略性行为才会对政府的研发政策产生影响。最后,在不同的技术许可策略下,双边政府最优的研发政策不同。对许可企业而言,该国对其研发的补贴率在固定费许可下要高于在产量提成许可下的情况。而在一定的技术许可策略下,许可双方企业对议价能力的预期则会明显影响各自政府的研发政策。如在产量提成许可下,对被许可企业而言,该国对其研发的补贴率随着自身议价能力的降低反而增大。

关键词: 消费者剩余, 第三市场模型, R&D补贴政策, 议价能力, 技术许可

Abstract: Involving strategic behavior of enterprises' technology licensing, the assumption of the third market model is released. And a game model of four-stage duopolistic R&D rivalry is established by means of backward induction used usually in the uncooperative game theory. The optimal R&D policies considered consumer surplus by respective governments when competitor has incomplete bargaining power is examined. Results and conclusions are as follows: Firstly, consideration of consumer surplus by country affects subsidy rate for enterprise's R&D, and thus R&D behavior of competitor. Secondly, the strategic behavior of enterprises' technology licensing has impacts on government R&D policies only when technology leader makes minor non-drastic innovation. Finally, bilateral government optimal R&D policies are different in different strategies of technology licensing. Concerning the licensor, the R&D subsidy rate by its government is higher in fixed-fee licensing than that in output-royalty licensing. Meanwhile, the expectation of bargaining power by both licensor and licensee affects respective government R&D polices with certain technology licensing strategies. Under the condition of output-royalty licensing, the R&D subsidy rate by its government is reversely higher with the reduction of its bargaining power concerning the licensee enterprise.

Key words: consumer surplus, third market model, R&D subsidy policy, bargaining power, technology licensing

中图分类号:

F273.1

赵丹, 王宗军. 消费者剩余、技术许可选择与双边政府R&D补贴[J]. 科研管理, 2012, 33(2): 88-96.

Zhao Dan, Wang Zongjun. Consumer surplus, choice of technology licensing, and bilateral government R&D subsidy[J]. Science Research Management, 2012, 33(2): 88-96.

参考文献

[1] Griliches Z. The search for R&D spillovers [J]. Scandinavian Journal of Economics, 1991, 94(supplement):29-47. [2] d'Aspremont C, Jacquemin A. Cooperative and Noncooperative R&D in Duopoly with Spillovers [J]. American Economic Review, 1988, 78(5):1133-1137. [3] Martin S. Advanced industrial economics (second edition) [M], Oxford: Blackwell Publishing Ltd. 2004, 432-435. [4] Spencer B J, Brander J A. International R&D rivalry and industrial strategy [J]. Review of Economic Studies, 1983, 50(4):707-722. [5] Brander J A, Spencer B J. Export subsidies and market share rivalry [J]. Journal of International Economics, 1985, 18(1-2):83-100. [6] Hinloopen J. Subsidizing R&D cooperatives [J]. De Economist, 2001, 149(3):313-345. [7] Davidson C, Segerstrom P. R&D Subsidies and Economic Growth [J]. Rand Journal of Economics, 1998, 29(3):548-577. [8] Hujer R, Radic D. Evaluating the Impacts of Subsidies on Innovation Activities in Germany [J]. Scottish Journal of Political Economy, 2005, 52(4): 565-586. [9] 安同良,周绍东,皮建才.R&D补贴对中国企业自主创新的激励效应[J].经济研究,2009(10):87-98. [10] 许春,刘奕.技术溢出与企业研发政府补贴政策的相机选择[J].科学学与科学技术管理,2005(1):25-30. [11] 周绍东.企业技术创新与政府R&D补贴:一个博弈[J].产业经济评论,2008,7(3):38-51. [12] 冯振中,吴斌.政府研发补贴政策的有效性研究[J].技术经济,2008,27(9):26-29. [13] Gallini N T, Winter R A. Licensing in the theory of innovation [J]. Rand Journal of Economics, 1985, 16(2): 237-252. [14] Shapiro C. Patent Licensing and R&D Rivalry [J]. American Economics Review Proceedings, 1985, 75(2):25-30. [15] Fan C. R&D subsidy and international licensing [Z]. Discussion Paper, Wissenschaftszentrum Berlin, 2002, FSIV99-28. [16] 钟德强,赵丹,罗定提.具有R&D溢出时的企业提成许可策略与政府R&D补贴激励[J].系统工程,2008,26(9):111-115. [17] Brander J A. Strategic trade policy [J]. Handbook of International Economics, 1995, 3:1395-1455. [18] Nash J. The bargaining problem [J]. Econometrica, 1950, 18(2):155-162.