专利标准化视角的多维集成创新研究
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摘要
集成创新是我国“十一五”期间科技发展战略和对策提出的两大关键问题之一,是新型知识经济的一项重要的创新实现方式。同时,随着经济全球化及社会信息化的发展,尤其是WTO/TBT协定的签署与实施,以专利(版权)为基础的技术标准已成为提高市场竞争力和控制技术轨道的重要手段,而我国的专利标准化进程还远远落后于领先国。因此,集成创新与专利标准化是提高我国自主创新能力的两个重点问题。鉴于此,本文所要研究的问题是如何在集成创新理论框架下探究专利标准化的实现途径。这一研究在具有理论意义的同时,更具有较强的现实意义。
本文在综合述评国内外相关研究并构建概念框架的基础上,将专利标准化机制研究纳入集成创新理论的分析框架,从企业专利标准化问题切入,采用实证研究及多案例研究等方法,对在微观及宏观维度以集成创新方式推动专利标准化进程做了深入的研究,研究得出的观点和结论在对亟待解决的现实问题赋予理论意义的同时又对已有的相关研究进行了拓展。
首先,基于标准的国际分类(ICS)分析我国标准化与专利的关系。与以往研究的不同之处在于,本文按照Blind (2004)的标准的国际分类(ICS)和国际专利分类(IPC)之间的对应关系收集我国的经验数据。经过实证分析,本文得出的结论证明我国以专利申请为代表的技术创新与标准(标准化)之间具有相互促进的作用。这一结论成为本文研究的逻辑起点。
其次,把专利标准化机制研究纳入了集成创新理论的分析框架。本文选取武汉东湖国家自主创新示范区光电子信息产业具有代表性的9个企业为研究对象,采用多案例研究方法,归纳分析了专利标准化模式,并应用内外部集成两个维度将研究中发现的概念类属予以归类,构建了一个包含5个内部集成机制和7个外部集成机制的命题框架,并提出6个阻碍专利标准化的因素。
第三,应用博弈模型证明以政府扶持为代表的国家集成创新对战略性高技术产业的专利标准化具有正向作用。本文以政府扶持这一外部集成机制作为代表国家集成创新的变量,以我国ICT市场为背景,以TD-SCDMA的技术演进和商业化为例,在理论论证的基础上,应用博弈模型验证在我国3G市场三大国际技术标准的竞争中,政府扶持对TD-SCDMA的胜出所发挥的正向作用,从而证明国家集成创新对于促进我国自主专利标准化进程具有至关重要的作用。
最后,以系统集成的力式推动专利标准化进程为目的,在NIC框架下进一步构建国家集成创新能力评价指标体系。本文以国家集成创新能力概念内涵为依据,尝试构建专利标准化视角下的国家集成创新能力评价指标体系框架。该指标体系突出了国家在引导和有效配置知识资源,以及促进创新主体间学习和知识扩散中发挥的重要作用,是对国家维度的创新能力的一个细化和延拓。
Integrated innovation is one of two major goals of the eleventh Medium to Long-Term Science and Technology Development Plan of China, and an important form of innovation for the new knowledge-based economy. Furthermore, with on-going globalization and informationalization, especially with the enactment and implementation of WTO/TBT, the patent-based standard has become a critical means to enhance market competitiveness and to control technological development. Unfortunately, China's patent standardization process is far behind developed nations. Therefore, integrated innovation and patent standardization are two important issues for China to improve its innovation ability. This thesis is to study how to make patent standardization happen within the framework of integrated innovation. This research thus is not only theoretically important, but also practically relevant.
Based on the relevant research in this area, we develop a conceptual framework which allows us to study patent standardization within the theoretical framework of integrated innovation. We start with the firm-level patent standardization, and then thoroughly study how integrated innovation affects patent standardization at both macro and micro levels with quantitative research methods and case studies. Our main results shed considerable light on the relevant issues.
First, based on the ICS, we study the relationship between standards and patents in China. Different from previous studies, we collect the empirical data of China based on Blind (2004). Our empirical results suggest that patents and standards are interdependent. This finding motivates our entire study in this thesis.
Second, we study patent standardization within the theoretical framework of integrated innovation. We focus on nine firms in the opto-electronic information industry in Wuhan Donghu National Self-innovation Demonstration Area in our case study. Based on these cases, we derive models for patent standardization. From both internal and external integration perspectives, we develop a framework within which there are five internal integration mechanisms and seven external integration mechanisms. We also propose six factors that can hinder patent standardization.
Third, based on a game theory model, we show that the government subsidy can positively affect patent standardization in high tech industries. We use the government subsidy as the proxy for the country-level integrated innovation, and look at the ICT market and the commercialization of TD-SCDMA in China. Based on our theoretical analysis, we show that the government subsidy is important for the success of the TD-SCDMA technology standard in the Chinese 3G market. Our results therefore suggest that the country-level integrated innovation is critical for patent standardization in China.
Finally, we develop an evaluation indicator system of integrated innovation within the NIC framework for the purpose of promoting patent standardization. Based on the definition of national capacity of integrated innovation, we develop an evaluation system from the perspective of patent standardization. This system is featured by the key role of the government in the process of efficiently allocating resources and promoting knowledge spillover, which is an extension to the current research on national innovation capacity.
本文在综合述评国内外相关研究并构建概念框架的基础上,将专利标准化机制研究纳入集成创新理论的分析框架,从企业专利标准化问题切入,采用实证研究及多案例研究等方法,对在微观及宏观维度以集成创新方式推动专利标准化进程做了深入的研究,研究得出的观点和结论在对亟待解决的现实问题赋予理论意义的同时又对已有的相关研究进行了拓展。
首先,基于标准的国际分类(ICS)分析我国标准化与专利的关系。与以往研究的不同之处在于,本文按照Blind (2004)的标准的国际分类(ICS)和国际专利分类(IPC)之间的对应关系收集我国的经验数据。经过实证分析,本文得出的结论证明我国以专利申请为代表的技术创新与标准(标准化)之间具有相互促进的作用。这一结论成为本文研究的逻辑起点。
其次,把专利标准化机制研究纳入了集成创新理论的分析框架。本文选取武汉东湖国家自主创新示范区光电子信息产业具有代表性的9个企业为研究对象,采用多案例研究方法,归纳分析了专利标准化模式,并应用内外部集成两个维度将研究中发现的概念类属予以归类,构建了一个包含5个内部集成机制和7个外部集成机制的命题框架,并提出6个阻碍专利标准化的因素。
第三,应用博弈模型证明以政府扶持为代表的国家集成创新对战略性高技术产业的专利标准化具有正向作用。本文以政府扶持这一外部集成机制作为代表国家集成创新的变量,以我国ICT市场为背景,以TD-SCDMA的技术演进和商业化为例,在理论论证的基础上,应用博弈模型验证在我国3G市场三大国际技术标准的竞争中,政府扶持对TD-SCDMA的胜出所发挥的正向作用,从而证明国家集成创新对于促进我国自主专利标准化进程具有至关重要的作用。
最后,以系统集成的力式推动专利标准化进程为目的,在NIC框架下进一步构建国家集成创新能力评价指标体系。本文以国家集成创新能力概念内涵为依据,尝试构建专利标准化视角下的国家集成创新能力评价指标体系框架。该指标体系突出了国家在引导和有效配置知识资源,以及促进创新主体间学习和知识扩散中发挥的重要作用,是对国家维度的创新能力的一个细化和延拓。
Integrated innovation is one of two major goals of the eleventh Medium to Long-Term Science and Technology Development Plan of China, and an important form of innovation for the new knowledge-based economy. Furthermore, with on-going globalization and informationalization, especially with the enactment and implementation of WTO/TBT, the patent-based standard has become a critical means to enhance market competitiveness and to control technological development. Unfortunately, China's patent standardization process is far behind developed nations. Therefore, integrated innovation and patent standardization are two important issues for China to improve its innovation ability. This thesis is to study how to make patent standardization happen within the framework of integrated innovation. This research thus is not only theoretically important, but also practically relevant.
Based on the relevant research in this area, we develop a conceptual framework which allows us to study patent standardization within the theoretical framework of integrated innovation. We start with the firm-level patent standardization, and then thoroughly study how integrated innovation affects patent standardization at both macro and micro levels with quantitative research methods and case studies. Our main results shed considerable light on the relevant issues.
First, based on the ICS, we study the relationship between standards and patents in China. Different from previous studies, we collect the empirical data of China based on Blind (2004). Our empirical results suggest that patents and standards are interdependent. This finding motivates our entire study in this thesis.
Second, we study patent standardization within the theoretical framework of integrated innovation. We focus on nine firms in the opto-electronic information industry in Wuhan Donghu National Self-innovation Demonstration Area in our case study. Based on these cases, we derive models for patent standardization. From both internal and external integration perspectives, we develop a framework within which there are five internal integration mechanisms and seven external integration mechanisms. We also propose six factors that can hinder patent standardization.
Third, based on a game theory model, we show that the government subsidy can positively affect patent standardization in high tech industries. We use the government subsidy as the proxy for the country-level integrated innovation, and look at the ICT market and the commercialization of TD-SCDMA in China. Based on our theoretical analysis, we show that the government subsidy is important for the success of the TD-SCDMA technology standard in the Chinese 3G market. Our results therefore suggest that the country-level integrated innovation is critical for patent standardization in China.
Finally, we develop an evaluation indicator system of integrated innovation within the NIC framework for the purpose of promoting patent standardization. Based on the definition of national capacity of integrated innovation, we develop an evaluation system from the perspective of patent standardization. This system is featured by the key role of the government in the process of efficiently allocating resources and promoting knowledge spillover, which is an extension to the current research on national innovation capacity.
引文
1 数据来源：EIU. Innovation:Transforming the Way Business Created, Economist, May 2007, p30.
2 参见：胡锦涛.坚持走中国特色自主创新道路 为建设创新型国家而努力奋斗----在全国科学技术大会上的讲话[R].2006-1-9.
5 Communication from the Commission to the Council, the European Parliament and the European Economic and Social Committee (COM(2008) 133 final)-Towards an increased contribution from standardization to innovation in Europe[R]. Brussels,2008-03-11.
6 Communication from the Commission to the Council, the European Parliament and the European Economic and Social Committee (COM(2008) 133 final)----Towards an increased contribution from standardization to innovation in Europe[R]. Brussels,2008-03-11.
7 Council Conclusions on standardization and innovation[R].2891t Competitiveness (Internal Market, Industry and Research) Council meeting, Council of the European Union, Brussels,2008-09-25.
8 张明兰.美德日新标准化战略对比分析.http://www.cnsis.info/titlecontent/WebTitleContentDetailServlet?type 05&Il) 0000001996.2010,11,25访问.
9 参见《The WIPO Patent Report,2008 Edition》。
10 截至2007年底,我国制定的国家标准中仅有16项涉及到专利,涉及的专利数只有148项(胡欣,2009)。
11 参见Blind (2004), pp176模型16.5。
12 数据来源：徐建国.我国技术标准战略研究取得重要进展,科技部发展计划司.http://www.csres.com/info/14981.html,2010-3-1访问。
13 数据来源：东湖高新区政府工作报告(2008年)
14 数据来源：http://news.cjn.cn/rc/200912/t1041231.htm
15 数据来源：http://www.sipo.gov.cn/dfzz/wuhan/xwdt/xwdt/200903/t20090302_442809.htm
28 数据来源：1http://blog.sina.com.cn/s/blog_5d8833bf0100bbld.html,2009-5-30访问.
29 资料来源：TD创新具有最高战略意义TD-SCDMA产业联盟月报[R].2008(12)：12-16.
33 高科技产业包括：航空航天、计算机、半导体、电信、制药、仪器等(见Fagerberg 1997)
34 中等技术产业有：电动或非电动机械、运输设备、部分化学工业等；低等技术产业有：纺织、制衣、皮革制品、家具、造纸、食品等。(见Fagerberg 1997)
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8 张明兰.美德日新标准化战略对比分析.http://www.cnsis.info/titlecontent/WebTitleContentDetailServlet?type 05&Il) 0000001996.2010,11,25访问.
9 参见《The WIPO Patent Report,2008 Edition》。
10 截至2007年底,我国制定的国家标准中仅有16项涉及到专利,涉及的专利数只有148项(胡欣,2009)。
11 参见Blind (2004), pp176模型16.5。
12 数据来源：徐建国.我国技术标准战略研究取得重要进展,科技部发展计划司.http://www.csres.com/info/14981.html,2010-3-1访问。
13 数据来源：东湖高新区政府工作报告(2008年)
14 数据来源：http://news.cjn.cn/rc/200912/t1041231.htm
15 数据来源：http://www.sipo.gov.cn/dfzz/wuhan/xwdt/xwdt/200903/t20090302_442809.htm
28 数据来源：1http://blog.sina.com.cn/s/blog_5d8833bf0100bbld.html,2009-5-30访问.
29 资料来源：TD创新具有最高战略意义TD-SCDMA产业联盟月报[R].2008(12)：12-16.
33 高科技产业包括：航空航天、计算机、半导体、电信、制药、仪器等(见Fagerberg 1997)
34 中等技术产业有：电动或非电动机械、运输设备、部分化学工业等；低等技术产业有：纺织、制衣、皮革制品、家具、造纸、食品等。(见Fagerberg 1997)
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