技术标准背景下的专利池演进及专利申请行为研究

发布时间：2018-10-21 12:42

【摘要】：近年来,技术标准越来越多的涉及到技术专利,技术专利已逐步成为技术标准的重要主体。在信息技术等高技术领域,在技术专利基础上创立技术标准,引导产业发展,谋求技术标准带来的垄断利润,已成为发达国家和跨国企业重要的竞争手段。为简化标准中专利的许可,加速标准的产业化,标准联盟主要以专利池运营拥有的技术专利,专利池在标准创立及产业化中扮演着日益重要的角色。本文以技术标准理论、专利池理论以及专利定量分析方法相关理论为基础,采用统计分析以及数学模型,对技术标准背景下的专利池演进及其专利申请行为进行了分析。首先,按照专利池发展的历程,将其分成了三个典型阶段,通过统计分析及社会网络分析,分别总结了早期专利池以及技术标准背景下专利池的典型特点、专利池运行机制及专利池中的知识产权策略。其次,为辨识专利池中是否存在策略性的专利申请行为,以典型专利池中的必要专利数据为研究样本,以专利质量为测度指标,对专利池中的专利申请行为进行了分析。研究表明,技术标准背景下的专利池主要集中于通信技术等高技术领域,围绕专利池的合作越来越多,专利池已成为发达国家的利益联合体；专业的专利池管理公司模式已成为专利池的主流运行模式。对专利池中的专利申请行为研究表明,专利池创立前后是专利申请的高峰期,这些专利绝大部分为专利池的发起人所控制；专利池中的专利质量随时间推移逐步降低,越在后期加入专利池的公司其质量越低；专利池创立后申请的专利中,由发起人申请的专利质量低于新成员。这表明专利池中存在策略型的专利申请行为；相对新成员,专利池发起人更有可能采取策略性的专利申请行为,将低价值专利加入专利池中。
[Abstract]:In recent years, technical standards are more and more related to technology patents, and technology patents have gradually become the main body of technical standards. In high-tech fields such as information technology, it has become an important means of competition for developed countries and multinational enterprises to establish technical standards on the basis of technology patents, to guide industry development and to seek monopoly profits brought by technical standards. In order to simplify the licensing of patent and accelerate the industrialization of the standard, the standard alliance mainly uses the technical patent which is owned by the patent pool, which plays an increasingly important role in the establishment and industrialization of the standard. Based on the theory of technical standard, patent pool theory and patent quantitative analysis method, this paper analyzes the evolution of patent pool and patent application behavior under the background of technical standard by using statistical analysis and mathematical model. Firstly, according to the development course of patent pool, it is divided into three typical stages. Through statistical analysis and social network analysis, the typical characteristics of patent pool in the early stage and in the background of technical standards are summarized respectively. Operation mechanism of patent pool and intellectual property strategy in patent pool. Secondly, in order to identify the strategic patent application behavior in the patent pool, taking the necessary patent data in the typical patent pool as the research sample and the patent quality as the measure index, this paper analyzes the patent application behavior in the patent pool. The research shows that the patent pool under the background of technical standard is mainly concentrated in the high-tech fields such as communication technology, and the cooperation around the patent pool is more and more, and the patent pool has become a consortium of interests of developed countries. Professional patent pool management company model has become the mainstream operation mode of patent pool. The research on patent application behavior in patent pool shows that before and after the establishment of patent pool, the peak period of patent application is before and after the establishment of patent pool, and most of these patents are controlled by the originator of patent pool, and the quality of patent in patent pool decreases gradually over time. The later the company joined the pool, the lower the quality of the patent pool; the quality of the patent filed by the sponsor is lower than that of the new member after the establishment of the patent pool. This indicates that there is a strategic patent application behavior in the patent pool, and the initiator of the patent pool is more likely to take strategic patent application behavior than the new member, and to add the low-value patent to the patent pool.
【学位授予单位】：大连理工大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：F273.1;F224;G306

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