科技型中小企业自主知识产权成长机制与脆弱性评价研究
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摘要
在竞争日益激烈的市场经济环境下,企业要想在市场竞争中获得竞争优势,在市场竞争中处于有利地位、占领制高点,不仅要积极创新,拥有自主创新的产品和技术,同时还必须要取得自主知识产权,从而使创新成果获得法律保护。在我国当今社会和经济发展中,企业正在成为我国技术创新的主体。
科技型中小企业作为我国企业的重要组成部分,经过二十多年的发展,已经形成中国经济的“半壁江山”,在研发新产品、申请专利、提供就业机会、稳定社会等方面发挥着不可替代的作用,是我国国民经济中一支重要的生力军。科技型中小企业作为技术密集型、知识密集型、信息密集型实体,是典型的知识产权型企业,其自主知识产权的拥有量和质量,不仅关系到到企业的发展命运,而且,还关系到国家和区域创新能力以及核心竞争力的高低,关系到我国国民经济能否快速、健康、持续的发展。
虽然我国科技型中小企业创新机制灵活,具有较强的创新动力,同时,对新的市场需求反应灵敏、技术更新和产品调整便捷,具有一定的创新优势。但是,由于受到规模和条件的限制,我国科技型中小企业的自主知识产权保护和管理等方面还存在许多问题,企业的自主知识产权状况不容乐观。由于缺乏具有自主知识产权的核心和关键技术,企业发展过程中往往在技术上“受制于人”,这一问题已成为我国科技型中小企业发展的瓶颈之一。因此,在知识经济不断深化,建设创新型国家的背景下,关注科技型中小企业自主知识产权自身的动态发展规律,研究我国科技型中小企业自主知识产权的成长机制及其脆弱性,提高我国科技型中小企业的创新效率,缩短研发周期,帮助科技型中小企业提高自主知识产权的成长速度和成功概率,从而提高我国科技型中小企业的核心竞争力,具有重要意义。
本文以科技型中小企业自主知识产权为研究对象,综合运用管理学、复杂性科学、经济学、法学等学科的理论和方法,对我国科技型中小企业自主知识产权的成长机制及其脆弱性评价进行了系统研究,突破了目前关于知识产权的研究主要停留在静态层面的现状,为政府制定有利于科技型中小企业发展的政策和企业促进自主知识产权成长提供科学依据。
全文共分为七章,内容安排如下：
第一章主要介绍了本文的研究背景和意义、国内外研究现状与文献综述,说明了本文的研究方法、内容组织和主要创新点。
第二章阐述了本文的相关概念和理论框架,分析了科技型中小企业的概念和特点,界定了自主知识产权的概念；从复杂理论视角对科技型中小企业自主知识产权成长过程进行了分析,从自组织机制、动态技术创新能力和政府支持三个方面,构建了科技型中小企业自主知识产权成长机制模型。
第三章到第五章,分别论述了科技型中小企业自主知识产权成长的三种机制。其中,第三章阐述了科技型中小企业自主知识产权成长的自组织机制。介绍了现代自组织理论的主要研究成果,论述了科技型中小企业自主知识产权成长的自组织特性和自组织演化机制,并在此基础上对我国科技型中小企业自主知识产权成长进行了应用分析。
第四章论述了企业动态技术创新能力与科技型中小企业自主知识产权成长。简单回顾了技术创新理论的发展,在分析科技型中小企业技术创新的现状、优势、劣势,以及科技型中小企业技术创新核心刚性的基础上,提出了动态技术创新能力的概念,并分析了科技型中小企业动态技术创新能力与其自主知识产权成长的关联机理；分别从构建动态梯度创新模式和超越技术创新核心刚性两个方面,论述了如何培育和提升我国科技型中小企业动态技术创新能力。最后指出了有效获取技术创新过程中的自主知识产权的策略。
第五章论述了政府支持与科技型中小企业自主知识产权成长。首先分别从基于提供公共产品的需要、基于维护市场秩序的需要和克服科技型中小企业自身特性带来的自主知识产权成长瓶颈三个方面,分析了政府支持科技型中小企业自主知识产权成长的必要性。然后分析了政府支持科技型中小企业自主知识产权成长的作用机理,分别从政府支持与科技型中小企业自主知识产权的自组织成长、政府支持与科技型中小企业动态技术创新能力的提升两个方面,论述了科技型中小企业自主知识产权成长过程中,政府支持的作用。最后,分析了我国政府行为在促进科技型中小企业自主知识产权成长中存在的问题,指出了构建促进我国科技型中小企业自主知识产权成长的政策体系的基本原则,在此基础上,提出了促进我国科技型中小企业自主知识产权成长的政策建议。
第六章对科技型中小企业自主知识产权脆弱性评价提出了探索性研究。界定了科技型中小企业自主知识产权脆弱性的概念,分析了其成因及评价意义；设计了科技型中小企业自主知识产权脆弱性的评价指标体系,并通过可拓学构建了评价模型。
第七章是总结和展望,总结本文的主要研究结果和主要创新点,并指出本文研究的不足和局限性,在此基础上对需要今后进一步研究的问题进行思考。
本文主要的创新点如下：
(1)本文突破目前关于知识产权的研究主要停留在静态层面的现状,从复杂系统论角度对我国科技型中小企业自主知识产权成长演化过程进行了分析。本文构建了动态环境下科技型中小企业自主知识产权成长机制的概念模型,并指出自组织是企业自主知识产权成长的前提和基础,贯穿于企业知识产权的整个生命周期,企业动态技术创新能力是企业自主知识产权成长的根本动力和核心保障机制,政府支持则是企业自主知识产权成长的重要外在支撑机制。
(2)探索性地提出了动态技术创新能力的概念,并分析了科技型中小企业动态技术创新能力与其自主知识产权成长的关联机理；从构建动态梯度创新模式和超越技术创新核心刚性两个方面,提出了培育和提升我国科技型中小企业动态技术创新能力的对策。
(3)尝试性地提出并探讨了科技型中小企业自主知识产权脆弱性问题。探索性地构建了科技型中小企业自主知识产权脆弱性的评价指标,并且基于可拓学,构建了我国科技型中小企业自主知识产权脆弱性评价及预警的多指标可拓模型。
Under the circumstances of an increasingly intense competitive market economy, the enterprises are required to not only be active and innovative with their own innovative products and technologies, but also obtain the independant intellectual property right (IIPR) for legal protection of their innovations. Only by this can they gain a competitive advantage in market competition, occupying a good position as well as a commanding height in the market cpmpetition. It turns out that in our current social and economic development, enterprises are becoming the main body of China's technology innovation.
As a major part of China's enterprises, Science and Technology Small and Medium-sized Enterprise(S&T SMEs), after 20 years of development, have formed a "half" of Chinese economy, playing an irreplaceable role in many aspects such as the research and development of new products, the application of patents, the supply of job opportunities and the stability of the society. They have become a new force, taking an important component in our national economy. S&T SMEs, as technology-intensive, knowledge-intensive, information-intensive entities, are typical IP-based business where the possession and the quality of their IIPR involve not only the fate of the enterprise's development, but also the capability of national and regional innovation as well as their core competitiveness. They also relate to whether our national economy can develop fastly, healthily and continuously or not.
Although the mechanism of China's S&T SMEs is flexible and innovative with a quick response to new market demands, and easy adjustment of technical renewal and product updates, due to restrictions on the size and conditions, there still exist many problems on the protection and management of IIPR whose condition in enterprises now are unoptimistic because of the lack of the core and critical technologies. As a result, we are often technically "controlled by others" in the process of development, and it has become one of the bottlenecks of the SMEs' Development. Therefore, under the circumstances of deepening the knowledge economy as well as building an innovative country, it becomes very important to pay close attention to the dynamic developing law of IIPR in S&T SMEs, study its growth mechanism, improve its innovation efficiency, shorten the development cycle, help S&T SMEs to improve the growth rate and success probability of IIPR so as to enhance our core competitiveness. It also can provide scientific theoretical support for government to formulate policies that benefit the S&T SMEs and promote the IIPR in S&T SMEs.
In this dissertation, the research object is the IPR in SMEs. A systematic study has been made about the growth mechanism of IPR in SMEs. It breaks through the current static research on IPR with a comprehensive application of management, complexity science, economics, and theories and methods in law as well.
This dissertation is divided into seven chapters, organized as follows:
The first chapter introduces the research background and significance as well as the domestic and overseas research status and literature review. It also illustrates the research methods, content organization and major innovation as well.
The second chapter elaborates the related concepts and theories, analyzes the concept and characteristics of SME and defines the concept of IIPR. It analyzes the growth process of IIPR from complex theory perspective, and constructs model of its growth mechanism from three aspects such as the self-organization mechanism, dynamic technological innovation and government support.
From chapter III to V the three mechanisms of the growth of IIPR in S&T SMEs are discussed respectively. The third chapter elaborates the self-organization mechanism, introduces the major research results of the modern theory of self-organization mechanism, discusses the self-organizing features and evolution mechanism of the growth of IIPR in S&T SMEs, and, on this basis, analyzes the application of the growth of IIPR in S&T SMEs.
Chapter IV discusses the dynamic technological innovation capability of enterprises and growth of IIPR in S&T SMEs, proposes concept of dynamic technological innovation capability with the analysis of technological innovation capability and rigidity, analyzes the association of dynamic technological innovation capability and the IIPR growth mechanism, and points out to improve the dynamic technological innovation capability of our S&T SMEs by constructing a dynamic gradient innovation model. The effective access to technology innovation in intellectual property strategy is mentioned at the end of this chapter..
The fifth chapter elaborates the relationship between the government support and the IIPR growrh in S&T SMEs, analyzes the theoretical basis of government support from the needs of the provision of public product as well as the maintain of the market order, then discusses the growth process and the role of government support from two aspects:the relationship between the support of government and the growth of IIPR, and the relationship between the support of government and the dynamic technological innovation ability's promotion of IIPR in S&T SMEs.
The sixth chapter proposes the exploring research to the vulnerability assessment of IIPR in S&T SMEs, defines the concept of vulnerability, analyzes its origin and the appraisal significance, designes the vulnerable evaluating indicator system and constructs the evaluation model through the extension theory.
Chapter VII is a summary as well as an outlook. It summes up the major findings and innovation of the dessertation, points out the deficiencies and limitations of this study, and based on the above two, gives some directions for further research.
Innovations and contributions of this thesis are briefly summarized as follows:
(1) The dissertation breaks through the current static research on IPR, from systematic theory's point of view, a systematic research has been made about the growth mechanism of IPR in SMEs. It constructs model of its growth mechanism from three aspects such as the self-organization mechanism, dynamic technological innovation and government support.
(2) The dissertation discusses the dynamic technological innovation capability of enterprises and growth of IIPR in S&T SMEs, proposes concept of dynamic technological innovation capability with the analysis of technological innovation capability and rigidity, analyzes the association of dynamic technological innovation capability and the IIPR growth mechanism, and points out to improve the dynamic technological innovation capability of our S&T SMEs by constructing a dynamic gradient innovation model.
(3) The dissertation proposes the exploring research to the vulnerability assessment of IIPR in S&T SMEs, designes the vulnerable evaluating indicator system and constructs the evaluation model through the extension theory.
科技型中小企业作为我国企业的重要组成部分,经过二十多年的发展,已经形成中国经济的“半壁江山”,在研发新产品、申请专利、提供就业机会、稳定社会等方面发挥着不可替代的作用,是我国国民经济中一支重要的生力军。科技型中小企业作为技术密集型、知识密集型、信息密集型实体,是典型的知识产权型企业,其自主知识产权的拥有量和质量,不仅关系到到企业的发展命运,而且,还关系到国家和区域创新能力以及核心竞争力的高低,关系到我国国民经济能否快速、健康、持续的发展。
虽然我国科技型中小企业创新机制灵活,具有较强的创新动力,同时,对新的市场需求反应灵敏、技术更新和产品调整便捷,具有一定的创新优势。但是,由于受到规模和条件的限制,我国科技型中小企业的自主知识产权保护和管理等方面还存在许多问题,企业的自主知识产权状况不容乐观。由于缺乏具有自主知识产权的核心和关键技术,企业发展过程中往往在技术上“受制于人”,这一问题已成为我国科技型中小企业发展的瓶颈之一。因此,在知识经济不断深化,建设创新型国家的背景下,关注科技型中小企业自主知识产权自身的动态发展规律,研究我国科技型中小企业自主知识产权的成长机制及其脆弱性,提高我国科技型中小企业的创新效率,缩短研发周期,帮助科技型中小企业提高自主知识产权的成长速度和成功概率,从而提高我国科技型中小企业的核心竞争力,具有重要意义。
本文以科技型中小企业自主知识产权为研究对象,综合运用管理学、复杂性科学、经济学、法学等学科的理论和方法,对我国科技型中小企业自主知识产权的成长机制及其脆弱性评价进行了系统研究,突破了目前关于知识产权的研究主要停留在静态层面的现状,为政府制定有利于科技型中小企业发展的政策和企业促进自主知识产权成长提供科学依据。
全文共分为七章,内容安排如下：
第一章主要介绍了本文的研究背景和意义、国内外研究现状与文献综述,说明了本文的研究方法、内容组织和主要创新点。
第二章阐述了本文的相关概念和理论框架,分析了科技型中小企业的概念和特点,界定了自主知识产权的概念；从复杂理论视角对科技型中小企业自主知识产权成长过程进行了分析,从自组织机制、动态技术创新能力和政府支持三个方面,构建了科技型中小企业自主知识产权成长机制模型。
第三章到第五章,分别论述了科技型中小企业自主知识产权成长的三种机制。其中,第三章阐述了科技型中小企业自主知识产权成长的自组织机制。介绍了现代自组织理论的主要研究成果,论述了科技型中小企业自主知识产权成长的自组织特性和自组织演化机制,并在此基础上对我国科技型中小企业自主知识产权成长进行了应用分析。
第四章论述了企业动态技术创新能力与科技型中小企业自主知识产权成长。简单回顾了技术创新理论的发展,在分析科技型中小企业技术创新的现状、优势、劣势,以及科技型中小企业技术创新核心刚性的基础上,提出了动态技术创新能力的概念,并分析了科技型中小企业动态技术创新能力与其自主知识产权成长的关联机理；分别从构建动态梯度创新模式和超越技术创新核心刚性两个方面,论述了如何培育和提升我国科技型中小企业动态技术创新能力。最后指出了有效获取技术创新过程中的自主知识产权的策略。
第五章论述了政府支持与科技型中小企业自主知识产权成长。首先分别从基于提供公共产品的需要、基于维护市场秩序的需要和克服科技型中小企业自身特性带来的自主知识产权成长瓶颈三个方面,分析了政府支持科技型中小企业自主知识产权成长的必要性。然后分析了政府支持科技型中小企业自主知识产权成长的作用机理,分别从政府支持与科技型中小企业自主知识产权的自组织成长、政府支持与科技型中小企业动态技术创新能力的提升两个方面,论述了科技型中小企业自主知识产权成长过程中,政府支持的作用。最后,分析了我国政府行为在促进科技型中小企业自主知识产权成长中存在的问题,指出了构建促进我国科技型中小企业自主知识产权成长的政策体系的基本原则,在此基础上,提出了促进我国科技型中小企业自主知识产权成长的政策建议。
第六章对科技型中小企业自主知识产权脆弱性评价提出了探索性研究。界定了科技型中小企业自主知识产权脆弱性的概念,分析了其成因及评价意义；设计了科技型中小企业自主知识产权脆弱性的评价指标体系,并通过可拓学构建了评价模型。
第七章是总结和展望,总结本文的主要研究结果和主要创新点,并指出本文研究的不足和局限性,在此基础上对需要今后进一步研究的问题进行思考。
本文主要的创新点如下：
(1)本文突破目前关于知识产权的研究主要停留在静态层面的现状,从复杂系统论角度对我国科技型中小企业自主知识产权成长演化过程进行了分析。本文构建了动态环境下科技型中小企业自主知识产权成长机制的概念模型,并指出自组织是企业自主知识产权成长的前提和基础,贯穿于企业知识产权的整个生命周期,企业动态技术创新能力是企业自主知识产权成长的根本动力和核心保障机制,政府支持则是企业自主知识产权成长的重要外在支撑机制。
(2)探索性地提出了动态技术创新能力的概念,并分析了科技型中小企业动态技术创新能力与其自主知识产权成长的关联机理；从构建动态梯度创新模式和超越技术创新核心刚性两个方面,提出了培育和提升我国科技型中小企业动态技术创新能力的对策。
(3)尝试性地提出并探讨了科技型中小企业自主知识产权脆弱性问题。探索性地构建了科技型中小企业自主知识产权脆弱性的评价指标,并且基于可拓学,构建了我国科技型中小企业自主知识产权脆弱性评价及预警的多指标可拓模型。
Under the circumstances of an increasingly intense competitive market economy, the enterprises are required to not only be active and innovative with their own innovative products and technologies, but also obtain the independant intellectual property right (IIPR) for legal protection of their innovations. Only by this can they gain a competitive advantage in market competition, occupying a good position as well as a commanding height in the market cpmpetition. It turns out that in our current social and economic development, enterprises are becoming the main body of China's technology innovation.
As a major part of China's enterprises, Science and Technology Small and Medium-sized Enterprise(S&T SMEs), after 20 years of development, have formed a "half" of Chinese economy, playing an irreplaceable role in many aspects such as the research and development of new products, the application of patents, the supply of job opportunities and the stability of the society. They have become a new force, taking an important component in our national economy. S&T SMEs, as technology-intensive, knowledge-intensive, information-intensive entities, are typical IP-based business where the possession and the quality of their IIPR involve not only the fate of the enterprise's development, but also the capability of national and regional innovation as well as their core competitiveness. They also relate to whether our national economy can develop fastly, healthily and continuously or not.
Although the mechanism of China's S&T SMEs is flexible and innovative with a quick response to new market demands, and easy adjustment of technical renewal and product updates, due to restrictions on the size and conditions, there still exist many problems on the protection and management of IIPR whose condition in enterprises now are unoptimistic because of the lack of the core and critical technologies. As a result, we are often technically "controlled by others" in the process of development, and it has become one of the bottlenecks of the SMEs' Development. Therefore, under the circumstances of deepening the knowledge economy as well as building an innovative country, it becomes very important to pay close attention to the dynamic developing law of IIPR in S&T SMEs, study its growth mechanism, improve its innovation efficiency, shorten the development cycle, help S&T SMEs to improve the growth rate and success probability of IIPR so as to enhance our core competitiveness. It also can provide scientific theoretical support for government to formulate policies that benefit the S&T SMEs and promote the IIPR in S&T SMEs.
In this dissertation, the research object is the IPR in SMEs. A systematic study has been made about the growth mechanism of IPR in SMEs. It breaks through the current static research on IPR with a comprehensive application of management, complexity science, economics, and theories and methods in law as well.
This dissertation is divided into seven chapters, organized as follows:
The first chapter introduces the research background and significance as well as the domestic and overseas research status and literature review. It also illustrates the research methods, content organization and major innovation as well.
The second chapter elaborates the related concepts and theories, analyzes the concept and characteristics of SME and defines the concept of IIPR. It analyzes the growth process of IIPR from complex theory perspective, and constructs model of its growth mechanism from three aspects such as the self-organization mechanism, dynamic technological innovation and government support.
From chapter III to V the three mechanisms of the growth of IIPR in S&T SMEs are discussed respectively. The third chapter elaborates the self-organization mechanism, introduces the major research results of the modern theory of self-organization mechanism, discusses the self-organizing features and evolution mechanism of the growth of IIPR in S&T SMEs, and, on this basis, analyzes the application of the growth of IIPR in S&T SMEs.
Chapter IV discusses the dynamic technological innovation capability of enterprises and growth of IIPR in S&T SMEs, proposes concept of dynamic technological innovation capability with the analysis of technological innovation capability and rigidity, analyzes the association of dynamic technological innovation capability and the IIPR growth mechanism, and points out to improve the dynamic technological innovation capability of our S&T SMEs by constructing a dynamic gradient innovation model. The effective access to technology innovation in intellectual property strategy is mentioned at the end of this chapter..
The fifth chapter elaborates the relationship between the government support and the IIPR growrh in S&T SMEs, analyzes the theoretical basis of government support from the needs of the provision of public product as well as the maintain of the market order, then discusses the growth process and the role of government support from two aspects:the relationship between the support of government and the growth of IIPR, and the relationship between the support of government and the dynamic technological innovation ability's promotion of IIPR in S&T SMEs.
The sixth chapter proposes the exploring research to the vulnerability assessment of IIPR in S&T SMEs, defines the concept of vulnerability, analyzes its origin and the appraisal significance, designes the vulnerable evaluating indicator system and constructs the evaluation model through the extension theory.
Chapter VII is a summary as well as an outlook. It summes up the major findings and innovation of the dessertation, points out the deficiencies and limitations of this study, and based on the above two, gives some directions for further research.
Innovations and contributions of this thesis are briefly summarized as follows:
(1) The dissertation breaks through the current static research on IPR, from systematic theory's point of view, a systematic research has been made about the growth mechanism of IPR in SMEs. It constructs model of its growth mechanism from three aspects such as the self-organization mechanism, dynamic technological innovation and government support.
(2) The dissertation discusses the dynamic technological innovation capability of enterprises and growth of IIPR in S&T SMEs, proposes concept of dynamic technological innovation capability with the analysis of technological innovation capability and rigidity, analyzes the association of dynamic technological innovation capability and the IIPR growth mechanism, and points out to improve the dynamic technological innovation capability of our S&T SMEs by constructing a dynamic gradient innovation model.
(3) The dissertation proposes the exploring research to the vulnerability assessment of IIPR in S&T SMEs, designes the vulnerable evaluating indicator system and constructs the evaluation model through the extension theory.
引文
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