专利联盟的形成及创新效应研究

发布时间：2017-12-31 23:05

本文关键词：专利联盟的形成及创新效应研究　出处：《东北大学》2014年博士论文　论文类型：学位论文

【摘要】：进入新世纪以来,专利技术发展日新月异。高新技术产业内如：半导体、生物技术、通讯、计算机等领域产生了密集的“专利丛林”,专利联盟整合互补性专利,将专利“打包”统一对外实施专利许可的方式,提供了最直接解决“专利丛林”问题的方案。当今专利联盟对产业的影响越来越大,许多跨国公司纷纷以专利联盟为基础,组建技术标准,国际产业竞争进一步升级为技术标准间的竞争。专利联盟以其特有的属性,即专利权的专属性、联盟内企业间的知识共享和资源互补性,成为高新技术产业内企业获取核心竞争力的主要范式,并引起了学界和业界的普遍关注。我国在经历了“DVD之痛”以后,政府和企业也意识到,专利联盟对我国产业发展作用巨大,加强专利联盟建设对促进我国产业结构调整和提升我国产业国际竞争力具有重大的现实意义和价值。本文围绕专利联盟的形成、创新效应、专利技术转化等三个问题展开研究,探寻专利联盟在知识经济时代背景下的内涵和意义,为我国政府和企业组建专利联盟及实施专利竞争战略提供理论依据和参考。本文在对专利联盟及相关概念界定的基础上,运用经济学、管理学相关理论及分析工具,以专利联盟规则为切入点,分别从联盟组建的“事前——事后”视角,构建专利研发竞赛博弈模型,系统讨论了专利联盟的本质,随后论文有针对性地选取了国外MPEG-2和国内TD-SCDMA、闪联等三个专利联盟为研究对象,对专利联盟的创新效应和专利技术转化等问题进行了案例分析,最后,为政府和企业组建专利联盟提供了对策和建议。研究方法及结论如下：(1)本文在现实中产业内存在大量互补性和可替代性专利的前提下,对专利联盟的形成进行了理论分析,结果表明：拥有专利数量多的企业更愿意组建或加入专利联盟；产业内形成的专利联盟可以是单一专利联盟也可以是基于不同技术标准的竞争性专利联盟；专利研发企业所拥有的专利数量和专利类型是专利联盟形成的关键性因素,在组建专利联盟时,既要考虑专利的类型,也要考虑到专利数量。(2)针对专利联盟在累积创新条件下对企业研发的影响,构建了一个描述企业研发投入(RD)随专利数量变动的动态博弈模型。在比较无、有联盟两种情况下的专利研发竞争模型和马尔可夫完美均衡模式的基础上,得出联盟对企业各阶段均衡研发投入的影响,并进一步分析了专利许可费和联盟规模对研发投入的影响。结果表明,联盟的存在解决了“专利丛林”问题,联盟形成前使各企业均衡研发投入水平逐渐提高,并在联盟形成后使企业保持稳定的研发动机；专利许可费越高(低)则专利被许可企业的均衡研发投入水平越低(高),且联盟存在一个最优许可费,使成员专利价值和研发投入达到最大化；规模较大的联盟对潜在成员的研发激励效果更持久,而规模较小的联盟激励效果更大。(3)由于技术标准间竞争加剧,在许多技术领域形成了基于不同技术标准的多个专利联盟并存的格局。本文构建基于不同技术标准的竞争性专利联盟累积创新效应的分析模型,针对不同的专利类型,即：阻碍性专利,替代性专利,附加创新性专利对竞争性专利联盟的创新效应分别进行了讨论。结果表明：在互补性专利的研发竞赛过程中,联盟内企业研发投入随着联盟内其他企业研发投入的增加(减少)而减少(增加),随着另一联盟内企业及联盟外研发企业研发投入的增加(减少)而增加(减少)；在替代性专利的研发竞赛过程中,专利之间的差异性越大,企业研发投入越大；在附加创新性专利的研发竞赛过程中,联盟内企业的研发投入要大于联盟外的企业。(4)运用动态博弈理论分别构建无、有独立许可条款下竞争性专利联盟累积创新效应的分析模型,对互补性专利的创新效应进行了比较研究。研究表明：竞争性专利联盟的创新效应受独立许可条款,专利类型,专利联盟技术标准间差异化程度,联盟内企业所持有的必要专利数量等因素影响,具有复杂性。但总体上,具有独立许可条款的竞争性专利联盟较之无独立许可条款的专利联盟来说,可以进一步降低专利许可费,促进专利的使用,有利于社会福利的提高,且同时可以促使企业增加研发投入,鼓励企业创新。(5)从专利技术转化角度出发,通过构建专利应用过程的演化博弈模型,分析了联盟的专利技术转化问题,结果表明：专利联盟对专利技术转化具有促进作用,它能够提高专利的引用率,对专利技术的应用具有积极的作用。另外,由于专利技术转化的均衡演化路径具有正反馈机制的随机非线性动力系统特征,只要联盟专利具有先发优势,那么联盟专利的技术转化能力就会越来越强,联盟将会形成“技术锁定”,从而完全占领市场。进一步说明了专利联盟具有形成技术标准的优势。(6)本文以国内外]MPEG-2、TD-SCDMA和闪联等三个专利联盟为研究对象,收集联盟成立前后专利授权数量,运用趋势分析、双重差分估计和Wilcoxon秩和检验等方法对专利联盟的创新效应和专利技术转化问题进行实证研究,结果表明：专利联盟鼓励企业创新,加速企业创新进程,促进专利的研发、应用和推广。
[Abstract]:Since entering the new century, the development of high-tech industry. The patent technology change rapidly such as: semiconductor, biotechnology, communications, computer and other fields have a dense "patent thicket, patent alliance complementary patent, the patent" package "unified implementation of the foreign patent license, provides the most direct solution of" patent thicket "problem. The patent alliance has more and more influence on the industry, many multinational corporations to patent alliance as the foundation, set up the technology standard, the international competition for further upgrading of technical standards competition. The patent alliance with its unique attributes, namely patent exclusivity, and complementary resource sharing alliance knowledge between enterprises, enterprises become the main paradigm of high-tech industry to obtain the core competitiveness, and has aroused widespread concern in academia and industry. In our country, through the" DVD The pain "in the future, the government and enterprises have realized that the patent alliance effect on China's industrial development, strengthen the construction of patent alliance to promote China's industrial structure adjustment and is of great practical significance and value to enhance the international competitiveness of industry of our country. This paper focuses on the patent alliance formation, innovation effect, research on patent technology transformation three, to explore the connotation and significance of Patent Alliance in the background of knowledge economy, our government and enterprises to establish patent alliance and provide a theoretical basis and reference for the implementation of the patent strategy. This article based on the definition of patent alliance and related concepts, and management theories and analysis tools to patent the league rules as the starting point, from the alliance of" pre - Post "perspective, the construction of patent research competition game model, discussed the nature of patent alliance, Then the paper selects the foreign MPEG-2 and domestic TD-SCDMA, IGRS three patent alliance as the research object, the innovation effect of patent alliance and patent technology transformation of case analysis, finally provides countermeasures and suggestions for the government and enterprises to establish patent alliance. Research methods and conclusions are as follows: (1) in reality within the industry there are a lot of complementary and alternative patent under the premise of patent alliance formation were analyzed, results showed that the number of patents owned enterprises are more willing to form or join the patent alliance; industry patent alliance can be formed in a single patent alliance can also be different the competition of technology standard alliance based on patent; patent number and patent type patent owned by enterprises is a key factor in the formation of patent alliance formation, patent alliance, both To consider the type of patent, should also take into account the number of patents. (2) the effect of Patent Alliance on R & D in cumulative innovation conditions, construct a description of R & D investment (RD) dynamic game model with changes in patents. By comparison, there are two kinds of basic union under the circumstance of patent R & D competition model and Markov perfect equilibrium model, the influence of alliance on each stage of enterprise R & D investment equilibrium, and further analyzes the influence of patent licensing fees and the scale of R & D investment alliance. The results show that the alliance to solve the problem of "patent thicket" coalition formation before make the enterprise R & D investment equilibrium level gradually to improve, and enable enterprises to maintain stability in the League after the formation of the R & D motivation; patent licensing fees higher (lower) is patent licensing equilibrium of R & D investment level is low (high), and the presence of a union The optimal licensing fees, the member of the patent value and R & D investment to maximize development; incentive effect of large scale Alliance for potential members more durable, and the alliance incentive effect of smaller more. (3) due to technical standards competition, in many areas of technology and formed a number of different technical standards exist Patent Alliance Based on the pattern. This paper constructs the model of different technical standard competition of Patent Alliance cumulative innovation based on the effect, according to the different types of patents, namely: blocking patents, alternative patents, innovation effect additional innovation patent for the competitive patent alliance are discussed respectively. The results showed that: in the process of development of complementary competition the patent application, the union enterprise R & D investment increase with other R & D investment alliance (decrease) and decrease (increase), with the enterprise and another coalition alliance outside Corporate R & D investment in R & D increase (decrease) increase (decrease); in the development of alternative patent in the competition process, the difference between patent is larger, more investment in R & D; R & D competition process additional innovation patent in R & D alliances within the enterprise investment than foreign enterprises (alliance. 4) using dynamic game theory analysis model were constructed, independent license terms under competitive Patent Alliance cumulative innovation effect, innovation effect of complementary patent were studied. The results show that: the competitive patent alliance innovation effect by independent patent license terms, types, the degree of alienation difference of Patent Alliance Technology Standard between, held by the union of enterprises in the necessary number of patents and other factors, is complex. But on the whole, with independent license terms of competitive Patent Alliance than without independent patent license terms Union, can further reduce the patent licensing fees, promote the use of the patent, is conducive to the improvement of social welfare, and also can encourage enterprises to increase R & D investment, encourage enterprises to innovate. (5) starting from the perspective of patent technology transformation, constructs the evolutionary game model of patent application process, the analysis of patent technology transformation, alliance the results show that the patent alliance has a role in promoting the patent technology transformation, it can improve the patent citation rate, has a positive effect on the application of patent technology. In addition, the equilibrium evolution path of patent technology transformation with stochastic nonlinear dynamical mechanism of positive feedback system, as long as the patent alliance has a first mover advantage, then the patent alliance the technical transformation ability will be more and more strong, the alliance will form a "lock", so as to completely dominate the market. Further clear out the Patent Alliance The formation of technical standards. (6) based on the domestic and foreign]MPEG-2, TD-SCDMA and other three IGRS patent alliance as the research object, collected before and after the establishment of union patent authorization number, using trend analysis, double difference estimation and Wilcoxon rank sum test method of empirical research, the problem of transformation of patent pool's innovation effect and the results show that the patent technology patent alliance encourages enterprise innovation, accelerate the process of enterprise innovation, promote patent research and development, application and promotion.

【学位授予单位】：东北大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：G306;F273.1

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