基于扎根理论的高校专利技术转移风险识别

Risk Identification of University Patent Technology Transfer Based on Grounded Theory

在对高校专利技术转移系统理论分析的基础上,选取“双一流”建设高校的专利技术转移参与人员(管理部门、科研团队、受让企业)作为访谈对象,运用扎根理论方法系统地分析识别高校专利技术转移的风险,结果表明,高校专利技术转移风险包括专利剩余有效期、专利被侵权、专利无效、学术道德失范、成果归属、证据保存、合同道德等法律风险,专利技术不成熟、专利新颖性、专利技术配套、专利的可转移价值、受让方的技术吸收能力、技术泄密等技术风险,以及国有资产保值增值、无形资产定价、成本核算、资金投入、关联交易、竞争情报获取、中介业务能力不足、净收益分配等经济风险。

On the basis of theoretical analysis of the patent technology transfer system in colleges and universities, the participants(management departments, scientific rese+arch teams, transferee enterprises) of patent technology transfer in "double first-class" colleges and universities are selected as interview objects, and grounded theory method is used to systematically analyze and identify the risks of patent technology transfer in universities. The results show that the risks of patent technology transfer in colleges and universities include the remaining validity period of patents, patent infringement, patent invalidity, academic moral anomie, achievement ownership, evidence preservation, contract ethics and other legal risks;immature patent technology, patent novelty, patent technology matching, patent technical risks such as the transferable value of the transferee, the technical absorption capacity of the transferee, and technical leakage;economic risks such as maintenance and appreciation of state-owned assets, pricing of intangible assets, cost accounting,capital investment, related transactions, acquisition of competitive intelligence, lack of intermediary business capabilities,and distribution of net income.