专利合作模式的计量研究

发布时间：2018-03-28 09:12

本文选题：专利合作　切入点：共同发明　出处：《武汉大学》2012年博士论文

【摘要】：创新是一个民族进步的灵魂,是一个国家兴旺发达的不竭动力。而创新又是一种高智力、高投入和高风险的复杂性社会劳动,需要集体的智慧和力量。无论是在自然科学领域还是人文社科领域,科技创新活动的集体化和合作化趋势不断加强,合作研究的比例呈现出稳步上升的态势,而且朝着高水平、深层次、多方位的方向发展。正如控制论的创始人维纳(Norbert Wiener)所言,如同爱迪生一样进行个人发明创造的时代已经远去,现在进入了科学合作的时代。关于科学合作问题的研究引起了学界广泛的关注,但就目前已有研究成果来看,大多是从合著论文的角度展开计量和论述的。专利是创新体系的重要组成部分,在诸多形式的科研产出中,专利是最能直接表征创新能力和科技水平的成果形式之一,大约80%的可得技术信息都会出现于专利出版物中,且通常不会在其它地方再现。从专利角度对科学合作问题进行研究,能够在一定程度上丰富科学合作领域已有的研究成果,并且能够发现大量新的有价值的结论与启示。本文站在面向国家创新体系建设的高度,将科学计量学的理论、方法和工具从科学文献延伸到专利技术,对发明人和专利权人之间的合作关系与合作模式以及伴随着专利合作而产生的知识交流情况进行计量分析,旨在为科研管理部门和广大的科技工作者提供参考信息与决策依据,并希望能够在此基础上为提高科研效率和推动国家创新体系建设提供一定的意见和建议。通过定量化的统计和分析,我们可以更加直观地了解到我国专利的生产、分布、交流、合作以及发展变化情况。从中所得出的大量丰富而翔实的统计数据和分析结果,以及在此基础之上所提出的改进措施和优化策略,能够为改善创新环境、促进知识交流、提高技术水平、推动我国专利事业发展提供定量与定性相结合的参考信息和决策依据。本文的内容框架除了引言和结论展望以外,主要包含三大部分：第一部分(第1章)是对理论基础的梳理和探讨,主要包含相关概念、相关因素、基础理论和研究视角等四个方面的内容。首先对专利合作的相关概念进行了解释和界定,对科学计量与专利计量、科学合作与专利合作、知识转移与技术转移、知识交流与知识创新等相关主题及其关系进行了系统地梳理；然后围绕专利合作的主体、专利合作的动机、专利合作研究的应用领域等三个方面的问题,对专利合作的相关因素进行了一定的探讨；接着,分析了专利合作研究的基础理论,包括大科学论、科研生产力与生产关系理论、科学分化与科学统一理论、系统论、协同论等；最后,归纳出专利合作的五大研究视角,分别是法学视角、经济学视角、科学计量学视角、情报学视角、知识管理学视角,并分别概括了每种视角下的主要研究内容及特征。第二部分(第2章、第3章、第4章)分别采用数理统计、社会网络分析和相关性分析三类方法,分别从数量、结构、关系三个角度,对我国现有的专利合作模式进行了揭示与分析。其中：第2章是对专利合作模式的整体描述与分析,从合作率与合作度、专利合作频次分布规律、基于合作者数量的专利合作模式分布规律、基于合作类型的专利合作模式分布规律等四个方面分别考察专利合作的程度、强度、规模和范围。统计结果显示,目前我国专利合作程度较低,合作规模较小,合作强度和范围都亟待提高。第3章分别从整体网络、网络结构、网络节点等方面对专利合作网络进行了全面的分析,找出了合作网络中的小团体和明星节点,并从现有的专利合作网络中揭示出几种典型的合作模式。该部分不仅证实了专利合作网络是一个典型的复杂网络,而且证实了专利合作网络还是一个社会关系网络,专利合作关系是亲缘、地缘、业缘等社会关系在专利研发领域的映射。另外,通过区域合作网络分析发现,我国大陆地区31个省区之间的专利合作关系及其强度存在着显著的空间分布不均衡和地域倾向。第4章验证了专利合作以及不同形式的合作模式对于专利产出的影响。研究结果证实了专利合作与专利产出之间确实存在着一定的相关关系,而专利合作能否促进专利产出在一定程度上受到专利合作模式的影响。合作范围、合作者数量、合作伙伴类型等因素都能对产出水平产生显著的影响,发明人或专利权人应该结合自身的条件和需求合理地选择合作模式。第三部分(第5章)是专利合作模式的优化策略研究。首先,指出了我国现有专利合作模式中存在的问题和不足,主要表现为合作程度偏低、合作模式单一区域分布不均衡、产学研合作基础薄弱；然后,针对以上问题,提出了具体的优化建议和措施,包括提高专利合作程度、科学地组织专利合作过程、合作模式多元化、以社会关系推动专利合作、加强校企合作、拓展国际交流与合作、进一步明确创新主体的地位和功能、构建科技创新联盟等多个方面；最后,提出了专利合作模式所需的保障机制,包括制度保障、文化环境和平台保障。
[Abstract]:Innovation is the soul of a nation ' s progress , it is a country ' s flourishing power . The innovation is a kind of high intelligence , high investment and high - risk complex social labor , which needs collective wisdom and power .

Through quantitative statistics and analysis , we can learn more intuitively about the production , distribution , communication , cooperation and development change of the patent in our country . Through quantitative statistics and analysis , we can learn more intuitively about the production , distribution , communication , cooperation and development change of our patent .

In addition to the introduction and conclusion , the content framework of this paper mainly consists of three parts :

The first part ( chapter 1 ) is a sort and discussion on the theoretical foundation , which mainly contains the contents of the relevant concepts , relevant factors , basic theory and research perspective . Firstly , the relevant concepts of patent cooperation are explained and defined , and the relevant themes and their relationship of scientific measurement and patent measurement , scientific cooperation and patent cooperation , knowledge transfer and technology transfer , knowledge exchange and knowledge innovation are systematically reviewed .
Then it discusses the related factors of patent cooperation , including the subject of patent cooperation , the motive of patent cooperation , the application field of patent cooperation research and so on .
Then , the basic theory of patent cooperation research is analyzed , including big scientific theory , scientific research productivity and productive relationship theory , scientific differentiation and scientific unification theory , systematic theory , synergy theory , etc .
Finally , the five research perspectives of patent cooperation are summarized , which are the angle of law , the angle of economics , the angle of scientific metrology , the angle of information science and the perspective of knowledge management , and summarizes the main contents and characteristics of each perspective .

The second part ( chapter 2 , chapter 3 , chapter 4 ) adopts three methods of mathematical statistics , social network analysis and correlation analysis , and reveals and analyzes the existing patent cooperation mode from three angles : quantity , structure and relationship .

Chapter 2 is the whole description and analysis of patent cooperation mode , from cooperation rate and cooperation degree , patent cooperation frequency distribution law , patent cooperation pattern distribution law based on cooperation type , patent cooperation pattern distribution law based on cooperation type , and so on . The statistical results show that the degree of patent cooperation in our country is low , cooperation scale is small , cooperation intensity and scope need to be improved .

Chapter 3 analyzes the patent cooperation network from the aspects of overall network , network structure , network node and so on , finds out the small groups and star nodes in the cooperative network , and reveals several typical cooperative modes from the existing patent cooperation network . The part not only confirms that the patent cooperation network is a typical complex network , but also proves that the patent cooperation network is a social relation network .

Chapter 4 verifies the influence of patent cooperation and different forms of cooperation pattern on patent output . The research results confirm that there is a certain relationship between patent cooperation and patent output , and whether patent cooperation can promote patent output is influenced by patent cooperation mode to a certain extent .

The third part ( chapter 5 ) is the research on the optimization strategy of patent cooperation model . First , it points out the problems and shortcomings existing in the existing patent cooperation model of our country , mainly shows that the cooperation degree is low , the single regional distribution of cooperative mode is not balanced , and the cooperation base of production and research cooperation is weak ;
Then , aiming at the above problems , the concrete optimization suggestions and measures are put forward , including improving the degree of patent cooperation , scientific organization of patent cooperation process , diversification of cooperation mode , promoting patent cooperation by social relations , strengthening cooperation between schools and enterprises , expanding international exchange and cooperation , further defining the position and function of innovation subject , and constructing scientific and technological innovation alliance , etc . ;
Finally , the guarantee mechanism needed for patent cooperation model is put forward , including institutional guarantee , cultural environment and platform guarantee .

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：G306;G353.1

【参考文献】