上海知识产权交易市场建设研究
摘要
在知识经济时代,创新能力成为提升国家竞争力的决定性因素。而增强自主创新能力必须进一步加强知识产权保护,推动知识产权交易。发展知识产权交易市场,提高知识产权的配置效率,将有利于促进知识产权的应用和推广,发挥其对经济、科技和社会的促进作用,同时实现知识产权的商业价值,激发创新主体的创新热情,增强其努力提高自主创新能力的动力。
上海知识产权交易市场发展在全国处于领先地位,但仍然存在很多问题,和国外知识产权交易市场相比,还存在很大差距。研究上海知识产权交易市场的建设,对加快上海知识产权交易市场的发展,缩短与国外知识产权交易市场的差距,具有现实意义。同时,本论文的研究成果,将为我国其他地区建设知识产权交易市场提供参考。
本论文首先总结了知识产权、知识产权交易、知识产权交易市场基础理论,介绍了国际知识产权交易的发展概况,随后选取美国、英国、日本和韩国四个国家,研究其知识产权交易市场的发展现状及相关的扶持政策,总结了美国、英国知识产权交易市场可资借鉴的发展模式:鼓励科研人员分享知识产权,开展知识产权网上交易,发展多种交易模式,扩大业务覆盖范围,保护交易双方信息,提高从业人员素质和服务水平,推动知识产权证券化;提炼了日本、韩国知识产权交易市场的建设经验对上海的启示:政府主导建设交易市场,立法保障交易所的设立和运营,网上市场与网下市场相结合,促进闲置知识产权的利用,开展知识产权融资。
本文在实地调查、专家访谈、资料研究的基础上,归纳总结了上海知识产权交易市场发展的现状:市场数量众多,规模较大;政府筹办为主,企业参与为辅;市场化运作与政府资助相结合;网上市场与网下市场相结合;专利市场占主体,商标市场逐步形成;市场细分和专业化,区域合作不断加强。并分析了上海知识产权交易市场存在的问题:主管机构多头管理,市场分割严重;市场建设缺乏法律保障;市场有效供给不足;从业人员素质有待提高;知识产权价值评估服务滞后。
在理论指导下,借鉴国外的成功经验,立足于上海的现状与问题,本文提出了上海知识产权交易市场的目标定位:国家级、国际化、综合性知识产权交易市场。这一目标定位基于上海具有诸多有利条件:市场发育程度全国领先,知识产权拥有量较大,知识产权管理体系较为完善,知识产权交易服务体系初步形成,知识产权保护相对较好,社会诚信体系逐步完善,国际化大都市初具雏形。同时2010年世博会在上海举办、我国建设创新型国家战略的实施、浦东新区成为“国家综合配套改革试点”、张江高科技园区成为“国家知识产权试点园区”为上海建设国家级、国际化、综合性知识产权交易市场提供了重大机遇。
最后,本文提出了加快建设上海知识产权交易市场的政策建议,包括完善知识产权交易市场发展的法律环境,促进闲置知识产权的利用和交易,推动知识产权的价值评估和证券化,提高从业人员素质和配套服务水平。
In the Knowledge Economy Era, the capability of innovation becomes a determinative factor in reinforcing the competitive ability of countries. In order to enhancing the ability of innovation of the country, the government must improve the protection of intellectual property (IP) and develop the market of intellectual property. Developing the IP market can improve the application of the IP and benefit the development of economy, science & technology and the society. Meanwhile, the owners of IP will get great return and will improve their ability of innovation with greater passion.
The market of IP in Shanghai develops well in China. But there are still some problems. The gap between the market and foreign market is great. Doing research on the development of IP market in Shanghai can help the government to fasten the development of the market and decrease the gap. And the research can benefit the development of IP market in other regions.
First the thesis summarizes the theory of intellectual property, exchange of intellectual property and market of intellectual property. Then it introduces the situation of international exchange of intellectual property. And it summarizes the developing models of market in America and Britain for reference, including encouraging the researchers to share the IP, developing online market and various trade models, enlarging the geographic coverage, protecting the information of traders, improving the service and developing stock-transformation of IP. It also summarizes the experience of developing the market in Japan and South Korea. For example, the government plays a main role to develop the on-line market and off-line market and enacts laws to protect the development of the market and pushes the enterprises to improve the application of IP. They make it possible for the enterprises to financing with IP.
Then the thesis summarizes the situation of the market in Shanghai based on investigation and research. Shanghai has many exchanges of intellectual property and the scale of the market is big. The government plays a main role to develop the on-line and off-line market and the enterprises are also involved. The market of patent accounts for a big part and the market of trademark begins to develop. There are two trends that market segment and the market crossing provinces is forming. The thesis also analyzes the problems. There are too many governing sections and the development of the market is lack of the legal protection. The market is in lack of good supply and the service should be improved, especially the evaluation service of the intellectual property.
The thesis brings forward the target of the development of intellectual property market in Shanghai based on the theory, foreign experience and the situation. The market should become a national, international and comprehensive market since Shanghai has many advantages. The market develops well in China and there is a lot of intellectual property in Shanghai. The governing system of intellectual property is relatively good. The service system has initially formed. The protection of intellectual property and the social integrity system are good. What’s more, Shanghai is becoming a metropolis. Meanwhile, the holding of World EXPO, the implementation of the strategy of building an innovation-oriented country, central government giving the right to reform to Shanghai Pudong New Area and China’s first Intellectual Property Park being built in Pudong New Area provide a good chance for the development of intellectual property market.
Finally, suggestion to fasten the development of the intellectual property market in Shanghai is figured out. For example, the legal environment should be improved. The application and exchange of intellectual property should be encouraged. The evaluation system of IP and the stock-transformation should be developed. Also the service should be improved.
上海知识产权交易市场发展在全国处于领先地位,但仍然存在很多问题,和国外知识产权交易市场相比,还存在很大差距。研究上海知识产权交易市场的建设,对加快上海知识产权交易市场的发展,缩短与国外知识产权交易市场的差距,具有现实意义。同时,本论文的研究成果,将为我国其他地区建设知识产权交易市场提供参考。
本论文首先总结了知识产权、知识产权交易、知识产权交易市场基础理论,介绍了国际知识产权交易的发展概况,随后选取美国、英国、日本和韩国四个国家,研究其知识产权交易市场的发展现状及相关的扶持政策,总结了美国、英国知识产权交易市场可资借鉴的发展模式:鼓励科研人员分享知识产权,开展知识产权网上交易,发展多种交易模式,扩大业务覆盖范围,保护交易双方信息,提高从业人员素质和服务水平,推动知识产权证券化;提炼了日本、韩国知识产权交易市场的建设经验对上海的启示:政府主导建设交易市场,立法保障交易所的设立和运营,网上市场与网下市场相结合,促进闲置知识产权的利用,开展知识产权融资。
本文在实地调查、专家访谈、资料研究的基础上,归纳总结了上海知识产权交易市场发展的现状:市场数量众多,规模较大;政府筹办为主,企业参与为辅;市场化运作与政府资助相结合;网上市场与网下市场相结合;专利市场占主体,商标市场逐步形成;市场细分和专业化,区域合作不断加强。并分析了上海知识产权交易市场存在的问题:主管机构多头管理,市场分割严重;市场建设缺乏法律保障;市场有效供给不足;从业人员素质有待提高;知识产权价值评估服务滞后。
在理论指导下,借鉴国外的成功经验,立足于上海的现状与问题,本文提出了上海知识产权交易市场的目标定位:国家级、国际化、综合性知识产权交易市场。这一目标定位基于上海具有诸多有利条件:市场发育程度全国领先,知识产权拥有量较大,知识产权管理体系较为完善,知识产权交易服务体系初步形成,知识产权保护相对较好,社会诚信体系逐步完善,国际化大都市初具雏形。同时2010年世博会在上海举办、我国建设创新型国家战略的实施、浦东新区成为“国家综合配套改革试点”、张江高科技园区成为“国家知识产权试点园区”为上海建设国家级、国际化、综合性知识产权交易市场提供了重大机遇。
最后,本文提出了加快建设上海知识产权交易市场的政策建议,包括完善知识产权交易市场发展的法律环境,促进闲置知识产权的利用和交易,推动知识产权的价值评估和证券化,提高从业人员素质和配套服务水平。
In the Knowledge Economy Era, the capability of innovation becomes a determinative factor in reinforcing the competitive ability of countries. In order to enhancing the ability of innovation of the country, the government must improve the protection of intellectual property (IP) and develop the market of intellectual property. Developing the IP market can improve the application of the IP and benefit the development of economy, science & technology and the society. Meanwhile, the owners of IP will get great return and will improve their ability of innovation with greater passion.
The market of IP in Shanghai develops well in China. But there are still some problems. The gap between the market and foreign market is great. Doing research on the development of IP market in Shanghai can help the government to fasten the development of the market and decrease the gap. And the research can benefit the development of IP market in other regions.
First the thesis summarizes the theory of intellectual property, exchange of intellectual property and market of intellectual property. Then it introduces the situation of international exchange of intellectual property. And it summarizes the developing models of market in America and Britain for reference, including encouraging the researchers to share the IP, developing online market and various trade models, enlarging the geographic coverage, protecting the information of traders, improving the service and developing stock-transformation of IP. It also summarizes the experience of developing the market in Japan and South Korea. For example, the government plays a main role to develop the on-line market and off-line market and enacts laws to protect the development of the market and pushes the enterprises to improve the application of IP. They make it possible for the enterprises to financing with IP.
Then the thesis summarizes the situation of the market in Shanghai based on investigation and research. Shanghai has many exchanges of intellectual property and the scale of the market is big. The government plays a main role to develop the on-line and off-line market and the enterprises are also involved. The market of patent accounts for a big part and the market of trademark begins to develop. There are two trends that market segment and the market crossing provinces is forming. The thesis also analyzes the problems. There are too many governing sections and the development of the market is lack of the legal protection. The market is in lack of good supply and the service should be improved, especially the evaluation service of the intellectual property.
The thesis brings forward the target of the development of intellectual property market in Shanghai based on the theory, foreign experience and the situation. The market should become a national, international and comprehensive market since Shanghai has many advantages. The market develops well in China and there is a lot of intellectual property in Shanghai. The governing system of intellectual property is relatively good. The service system has initially formed. The protection of intellectual property and the social integrity system are good. What’s more, Shanghai is becoming a metropolis. Meanwhile, the holding of World EXPO, the implementation of the strategy of building an innovation-oriented country, central government giving the right to reform to Shanghai Pudong New Area and China’s first Intellectual Property Park being built in Pudong New Area provide a good chance for the development of intellectual property market.
Finally, suggestion to fasten the development of the intellectual property market in Shanghai is figured out. For example, the legal environment should be improved. The application and exchange of intellectual property should be encouraged. The evaluation system of IP and the stock-transformation should be developed. Also the service should be improved.
引文
[1] 陈勇,建设我国知识产权综合交易平台的思考,中国软科学,2005.1
[2] 江播, 知识产权及其保护, 油运技术,1997.2
[3] 刘春田,知识财产权解析,中国社会科学,2003.4
[4] 徐洪才,中国产权交易市场研究,北京:中国金融出版社,2006.6
[5] 知识产权的范围,西藏科技报,2003.8.20
[6] 吴汉东,知识产权的制度创新与理论创新,WTO 与法制论坛:http://www.wtolaw.gov.cn/display/displayinfo.asp?iid=200209201539234437
[7] 段瑞春,关于现代知识产权问题,中国软科学,1999.3
[8] 世界知识产权组织,国家知识产权局:http://www.sipo.gov.cn/sipo/gjhzs/gjzz/200604/t20060425_97254.htm
[9] 经济合作与发展组织,以知识为基础的经济,北京,机械工业出版社,1997. 3-4
[10] 陈勇,我国技术市场发展浅议,科技成果纵横,2006.1
[11] 陈美章,美国知识产权的管理及其发展趋势,电子知识产权, 1997.12
[12] 顾金亮,国家科技计划知识产权管理的中美比较,中国软科学,2004.4
[13] http://www.yet2.com/
[14] 知识产权上网交易,西部大开发,22 卷 3 期
[15] http://www.innocentive.com/
[16] http://www.utekcorp.com
[17] 艾旒斌,黎志成,知识产权证券化:知识资本与金融资本的有效融合,研究与发展管理,2004.6
[18] Alex Arrow. Managing IP financial assets[M]. New York: John Wiley & Sons, Inc., 1992. 132-133.
[19] 陈勇,以证券化推进专利实施与产业化,知识产权,2006.1
[20] 英国利用知识产权推动创新活动的做法和实践,科技部:http://www.most.gov.cn/gnwkjdt/200608/t20060822_35562.htm
[21] 辛欣,日本“知识产权立国”的发展战略,国际技术经济研究,2004.7
[22] 冯楚建,建立面向 21 世纪的知识产权制度:日本现代知识产权政策与战略研究,中国软科学,1998.4
[23] 自制才能自强——韩国的知识产权政策, 中国中小企业宁波网:http://www.nbsme.gov.cn/htmlNews/20051230/092412.html
[24] 韩国专利技术网上市场:http://www.patentmart.or.kr
[25] 韩国知识产权局(KIPO)针对中小型企业开展的活动,世界知识产权组织: http://www.wipo.int/sme/zh/best_practices/kipo.htm#ongoing
[26] 包海波,韩国的知识产权发展战略及其启示,杭州师范学院学报(自然科学版),2004.5
[27] 姜桂兴,韩国知识产权管理与知识产权战略探析,科技与经济,2005.5
[28] 韩国政府和知识产权局推出多项重要举措,冯晓青知识产权网:http://www.fengxiaoqingip.com/infomation/guoji/221059822.html
[29] 李建伟,知识产权证券化:理论分析与应用研究,知识产权,2006.1
[30] 上海联合产权交易所:http://new.suaee.com/suaee/portal/index.jsp
[31] 上海市专利交易网:http://www.shpt.cn/shpt/default.htm
[32] 不落幕的中小企业“四新”展:http://www.sse.gov.cn/html/dzzw/xwsd/2003/06/doc7419.shtml
[33] 长三角地区专利交易合作网:www.ip426.cn
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[35] 李健伟,知识产权证券化:理论分析与应用研究,知识产权,2006.1
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[37] 张懿,上海知识产权保护得力 企业研发中心纷纷进驻,文汇报,2006.4.24
[38] 陈维,上海:现代化国际大都市魅力的培育与比较,上海经济研究,2002.2
[39] 上海世博办发布公告:世博会知识产权不容侵犯,中国上海:http://www.shanghai.gov.cn/shanghai/node2314/node2315/node4411/userobject21ai18649.html
[40] 世博会成契机:长三角经济一体化更趋务实,浙江省经济贸易委员会:http://w.zjjmw.gov.cn/03/28578.htm
[41] 龙凤英,《知识产权法》学习辅导,中共石家庄市委党校学报,2006.5
[42] 代中强,郑秉秀,WTO 下发展我国知识产权代理业的思考,研究与探讨,2003. 2
[2] 江播, 知识产权及其保护, 油运技术,1997.2
[3] 刘春田,知识财产权解析,中国社会科学,2003.4
[4] 徐洪才,中国产权交易市场研究,北京:中国金融出版社,2006.6
[5] 知识产权的范围,西藏科技报,2003.8.20
[6] 吴汉东,知识产权的制度创新与理论创新,WTO 与法制论坛:http://www.wtolaw.gov.cn/display/displayinfo.asp?iid=200209201539234437
[7] 段瑞春,关于现代知识产权问题,中国软科学,1999.3
[8] 世界知识产权组织,国家知识产权局:http://www.sipo.gov.cn/sipo/gjhzs/gjzz/200604/t20060425_97254.htm
[9] 经济合作与发展组织,以知识为基础的经济,北京,机械工业出版社,1997. 3-4
[10] 陈勇,我国技术市场发展浅议,科技成果纵横,2006.1
[11] 陈美章,美国知识产权的管理及其发展趋势,电子知识产权, 1997.12
[12] 顾金亮,国家科技计划知识产权管理的中美比较,中国软科学,2004.4
[13] http://www.yet2.com/
[14] 知识产权上网交易,西部大开发,22 卷 3 期
[15] http://www.innocentive.com/
[16] http://www.utekcorp.com
[17] 艾旒斌,黎志成,知识产权证券化:知识资本与金融资本的有效融合,研究与发展管理,2004.6
[18] Alex Arrow. Managing IP financial assets[M]. New York: John Wiley & Sons, Inc., 1992. 132-133.
[19] 陈勇,以证券化推进专利实施与产业化,知识产权,2006.1
[20] 英国利用知识产权推动创新活动的做法和实践,科技部:http://www.most.gov.cn/gnwkjdt/200608/t20060822_35562.htm
[21] 辛欣,日本“知识产权立国”的发展战略,国际技术经济研究,2004.7
[22] 冯楚建,建立面向 21 世纪的知识产权制度:日本现代知识产权政策与战略研究,中国软科学,1998.4
[23] 自制才能自强——韩国的知识产权政策, 中国中小企业宁波网:http://www.nbsme.gov.cn/htmlNews/20051230/092412.html
[24] 韩国专利技术网上市场:http://www.patentmart.or.kr
[25] 韩国知识产权局(KIPO)针对中小型企业开展的活动,世界知识产权组织: http://www.wipo.int/sme/zh/best_practices/kipo.htm#ongoing
[26] 包海波,韩国的知识产权发展战略及其启示,杭州师范学院学报(自然科学版),2004.5
[27] 姜桂兴,韩国知识产权管理与知识产权战略探析,科技与经济,2005.5
[28] 韩国政府和知识产权局推出多项重要举措,冯晓青知识产权网:http://www.fengxiaoqingip.com/infomation/guoji/221059822.html
[29] 李建伟,知识产权证券化:理论分析与应用研究,知识产权,2006.1
[30] 上海联合产权交易所:http://new.suaee.com/suaee/portal/index.jsp
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[32] 不落幕的中小企业“四新”展:http://www.sse.gov.cn/html/dzzw/xwsd/2003/06/doc7419.shtml
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