基于知识价值链的中国微车行业专利战略研究
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摘要
随着知识经济和经济全球化深入发展,知识产权日益成为国家发展的战略性资源和国际竞争力的核心要素,成为建设创新型国家的重要支撑和掌握发展主动权的关键。汽车产业是我国重要的支柱产业,因产业链长、关联度高、就业面广、消费拉动大,在国民经济和社会发展中发挥着重要作用。其中微型汽车行业因其产品具有燃料消耗少、使用费用低,占地面积小、用途灵活,适应我国广大农村、中小城镇及中小企业的生产和消费需要等特点,近二十年来发展尤为迅猛。但是,我国微型汽车产业的技术创新和专利运用水平低的问题依然突出。首先,从技术创新角度上来看,行业研发能力普遍较弱,核心技术和专利拥有量少。技术进步主要表现为提高生产质量、创新生产工艺和对引进产品进行适用性改进,专利类型以实用新型和外观设计为主。其次,从专利运用角度来看,企业作为市场主体,灵活运用专利能力不强,专利数量、专利水平、专利布局尚不能满足汽车产业国内外发展的需要。更为严峻的是,跨国汽车公司在我国汽车产业自主发展道路上已经树起了由专利组成的知识产权壁垒。因而,研究如何从战略的高度,推进以专利为核心的知识产权创造、保护、运用和管理,突破国际跨国汽车公司的知识产权壁垒,对提升我国微车产业核心竞争力具有十分重要的现实意义。
同时,产业全球化和知识产权运用日益加强的发展态势,使知识产权特别是专利的创造、保护、运用和管理等相关战略研究成为学术界、产业界和政府共同关注的问题。纵观国内外的研究成果,主要集中在对专利战略概念、功能、类型及某些环节的制定策略上,并得到了许多令人信服的结论。但关于专利信息分析、专利开发、申请、运用和保护等观点和理论还没有形成系统的体系,这正为本文的深入研究提供了契机与理论开拓空间。
本论文遵循“理论研究→模型构建→实证分析→战略设计”的研究思路展开论述。在梳理并吸收国内外专家学者相关研究成果的基础上,综合运用产业经济学、国际经济学、技术创新经济学、管理学、知识产权法学等多门学科理论,提出了知识价值链概念,构建了基于知识价值链的专利战略模型,探讨了专利信息分析、专利开发、专利申请、专利运用和专利保护战略的内涵及运作模式；构建了基于知识价值链的专利战略改进型SWOT分析模型,以微车专利信息为重点,分析了我国微车行业实施专利战略的内外部环境,确定了微车行业专利战略选择,提出了战略设计构想。本文试图通过上述研究,建立一个系统的微车行业专利战略理论框架。
论文的主要内容分为六部分：
第一,理论基础研究。通过对国内外相关文献研究成果的综述与评析,归纳了与本文研究主体有紧密关系的理论基础,剖析了其中存在的不足,为后文的模型构建奠定了基础,并确定了论文的理论分析框架。
第二,研究框架的构建。在界定知识价值链(KVC)含义的基础上,从专利基本战略和支撑体系两大模块,构建了专利战略模型；基于KVC思想,引入并突出了专利活动的定量分析元素,构建了专利战略改进型SWOT分析模型,为专利战略的具体制定和实施提供依据。
第三,基于KVC的专利战略系统。从专利战略模型之专利基本战略和资源支撑体系两大子系统角度,着重论证了专利信息战略、专利开发战略、专利申请战略、专利运用和保护等基本战略的内涵及运作模式;论证了专利战略的要素支撑、组织支撑和文化支撑内涵及构成。
第四,基于KVC的微车专利活动状况分析。紧密结合知识价值链,主要借助专利地图分析方法和比较分析方法,全面深入地剖析了中外微车行业的专利基本活动和支撑活动态势,总结了日本微车产业专利战略成功的经验。
第五,基于KVC的专利战略选择。在前章主要对专利信息进行定量分析的基础上,本章结合对微车行业及技术发展外部环境进行的定性分析,找出了影响微车行业专利战略的关键因素,并基于KVC的专利战略改进型SWOT分析模型进行战略匹配,得出我国微车行业的专利战略组合,即以S0进攻型专利战略为主,辅之以WO防御型专利战略的攻防兼备战略。
第六,基于KVC的专利战略的系统设计。基于知识价值链的专利战略理论模型,主要从专利战略的原则、目标、重点及支撑体系角度,对我国微车行业专利战略进行了系统设计,提出了相应的专利开发、专利申请和专利联盟等战略设想及具体谋略。认为微车行业应针对不同的技术领域实施不同的专利战略：在微车车身和发动机领域,实施技术领先型专利开发战略、自主创新模式、进攻性专利布局战略和专利联盟战略(S0战略)。同时,在微车电子电器、新能源、底盘、传动技术领域,实施追随型专利技术开发和联合开发、利用失效专利开发战略、外围防御型专利申请战略、专利购买战略和专利诉讼战略(W0战略)。
With the rapid development of globalization and knowledge economy, intellectual property has become a core strategic resource for competitiveness and innovation for a nation. Automobile industry is an important pillar industry of our country, it has a long industrial chain that has a high association with other industry, holds a wide range of employment and brings plentiful consumption. It plays an important role in national economy and social development. Cross-passenger-car industry, because of its characteristics of low fuel consumption, low cost, small area occupation, flexible usage, adapt to production and consumption of China's vast rural areas, small towns and small and medium-sized enterprise, also has obtained considerable development during nearly two decades. However, from perspective of technological innovation, it has problems in research capacity as well as operation of intellectual property. First of all, from perspective of technology innovation, industry research and development ability is generally weak, the amount of core technology patent is pretty small. Technology progress is mainly covering production quality and production technology improvement. Patent type mostly is utility model and design. Secondly, from the point of view of patent application, enterprise has low ability in patents operation. The quantity, level and layout of patents cannot meet the needs of automobile industry development. More seriously, multinational auto companies have established barriers of intellectual property to our auto industry. Therefore, it is very important to study, in view of strategy, on how to create, protect, operate and manage intellectual property to break through intellectual property barriers set up by international multinational auto company.
At the same time, with development of industry globalization and intellectual property operation, relative strategy studies on creation, protection, utilization and management of intellectual property rights especially patent, become a concern in circles of academia, industry and government. The research results in domestic and abroad mainly focus on patent strategic concept, function, type, and some link of strategies, and got a lot of convincing conclusions. But those viewpoints and theories have not formed a system. It provides an opportunity for this dissertation to do further studies on theoretical development.
This dissertation follows a research notion of "theory research, framework construction, empirical analysis, strategic design". Based on research of domestic and foreign experts, with integrated theories of industrial economics, international economics, technology innovation, management and intellectual property law, this dissertation puts forward theory of knowledge value chain model. Also based on this model, constructs a patent strategy model which consists of basic patent strategies and resource support system, discusses conceptions and operation modes of patent information analysis, patent development, patent application and protection strategy, sets up an improved SWOT analysis model. Focusing on patent information, this dissertation analyses internal and external environment of Chinese cross-passenger-car industry, makes choice for patent strategy and puts forward a strategic design idea. Through research, this dissertation tries to establish a theoretical framework for cross-passenger-car industry.
The main contents of this dissertation are divided into six parts:
Firstly, theoretical basis for research. Through review research achievements on related theories at home and abroad, this dissertation analyses existing insufficiency, sets up foundation and theoretical analyzing framework for later model building.
Secondly, construction of research framework. Based on the idea of KVC, patent strategy model is constructed from two major functional modules of basic patent activity flow and patent activity support; by introducing quantitative analysis elements in patent activity, constructs an improved SWOT analytical model to provide basis for specific formulation and implementation of patent strategy.
Thirdly, patent strategy system based on KVC. From basic strategy and resources supporting system, this dissertation emphatically demonstrates concepts and modes of strategies of patent information, development, application and protection; Demonstrates composition of resources support, organizational support and culture support.
Fourthly, analysis of patent activities. On KVC basis, with patent map analysis and comparative analysis methods, this dissertation deeply analyses basic patent activities and support activities for Chinese and foreign cross-passenger-car industry, summarizes successful patent strategy experience of Japanese car industry.
Fifthly, patent strategy choice based on KVC. Using patent strategy improved SWOT analysis model, from point of view of basic patents activities and support activities, find out the key influencing factors related industry patent development strategy, puts forward strategy matching for cross-passenger-car industry, namely SO offensive patent strategy accompanied by WO defensive strategy.
Lastly, patent strategy system design based on KVC. In compliance with patent strategy model based on knowledge value chain, mainly from respect of patent strategy principle, target, emphasis and supporting system, this dissertation conceives patent strategy system for cross-passenger-car industry, puts forward corresponding such strategic ideas as patent development, patent application and patent alliance. Cross-passenger-car industry should take different strategies according to different technology level:in the field of body and engine, take strategies of advanced technology development, independent innovation mode, aggressive patent layout and patent alliance. Meanwhile, in line of r electronic, new energy, chassis, transmission technology, take strategies of follow-up technology development, joint development, utilization of invalid patent strategy, defensive patent layout, patent purchase and litigation strategy.
同时,产业全球化和知识产权运用日益加强的发展态势,使知识产权特别是专利的创造、保护、运用和管理等相关战略研究成为学术界、产业界和政府共同关注的问题。纵观国内外的研究成果,主要集中在对专利战略概念、功能、类型及某些环节的制定策略上,并得到了许多令人信服的结论。但关于专利信息分析、专利开发、申请、运用和保护等观点和理论还没有形成系统的体系,这正为本文的深入研究提供了契机与理论开拓空间。
本论文遵循“理论研究→模型构建→实证分析→战略设计”的研究思路展开论述。在梳理并吸收国内外专家学者相关研究成果的基础上,综合运用产业经济学、国际经济学、技术创新经济学、管理学、知识产权法学等多门学科理论,提出了知识价值链概念,构建了基于知识价值链的专利战略模型,探讨了专利信息分析、专利开发、专利申请、专利运用和专利保护战略的内涵及运作模式；构建了基于知识价值链的专利战略改进型SWOT分析模型,以微车专利信息为重点,分析了我国微车行业实施专利战略的内外部环境,确定了微车行业专利战略选择,提出了战略设计构想。本文试图通过上述研究,建立一个系统的微车行业专利战略理论框架。
论文的主要内容分为六部分：
第一,理论基础研究。通过对国内外相关文献研究成果的综述与评析,归纳了与本文研究主体有紧密关系的理论基础,剖析了其中存在的不足,为后文的模型构建奠定了基础,并确定了论文的理论分析框架。
第二,研究框架的构建。在界定知识价值链(KVC)含义的基础上,从专利基本战略和支撑体系两大模块,构建了专利战略模型；基于KVC思想,引入并突出了专利活动的定量分析元素,构建了专利战略改进型SWOT分析模型,为专利战略的具体制定和实施提供依据。
第三,基于KVC的专利战略系统。从专利战略模型之专利基本战略和资源支撑体系两大子系统角度,着重论证了专利信息战略、专利开发战略、专利申请战略、专利运用和保护等基本战略的内涵及运作模式;论证了专利战略的要素支撑、组织支撑和文化支撑内涵及构成。
第四,基于KVC的微车专利活动状况分析。紧密结合知识价值链,主要借助专利地图分析方法和比较分析方法,全面深入地剖析了中外微车行业的专利基本活动和支撑活动态势,总结了日本微车产业专利战略成功的经验。
第五,基于KVC的专利战略选择。在前章主要对专利信息进行定量分析的基础上,本章结合对微车行业及技术发展外部环境进行的定性分析,找出了影响微车行业专利战略的关键因素,并基于KVC的专利战略改进型SWOT分析模型进行战略匹配,得出我国微车行业的专利战略组合,即以S0进攻型专利战略为主,辅之以WO防御型专利战略的攻防兼备战略。
第六,基于KVC的专利战略的系统设计。基于知识价值链的专利战略理论模型,主要从专利战略的原则、目标、重点及支撑体系角度,对我国微车行业专利战略进行了系统设计,提出了相应的专利开发、专利申请和专利联盟等战略设想及具体谋略。认为微车行业应针对不同的技术领域实施不同的专利战略：在微车车身和发动机领域,实施技术领先型专利开发战略、自主创新模式、进攻性专利布局战略和专利联盟战略(S0战略)。同时,在微车电子电器、新能源、底盘、传动技术领域,实施追随型专利技术开发和联合开发、利用失效专利开发战略、外围防御型专利申请战略、专利购买战略和专利诉讼战略(W0战略)。
With the rapid development of globalization and knowledge economy, intellectual property has become a core strategic resource for competitiveness and innovation for a nation. Automobile industry is an important pillar industry of our country, it has a long industrial chain that has a high association with other industry, holds a wide range of employment and brings plentiful consumption. It plays an important role in national economy and social development. Cross-passenger-car industry, because of its characteristics of low fuel consumption, low cost, small area occupation, flexible usage, adapt to production and consumption of China's vast rural areas, small towns and small and medium-sized enterprise, also has obtained considerable development during nearly two decades. However, from perspective of technological innovation, it has problems in research capacity as well as operation of intellectual property. First of all, from perspective of technology innovation, industry research and development ability is generally weak, the amount of core technology patent is pretty small. Technology progress is mainly covering production quality and production technology improvement. Patent type mostly is utility model and design. Secondly, from the point of view of patent application, enterprise has low ability in patents operation. The quantity, level and layout of patents cannot meet the needs of automobile industry development. More seriously, multinational auto companies have established barriers of intellectual property to our auto industry. Therefore, it is very important to study, in view of strategy, on how to create, protect, operate and manage intellectual property to break through intellectual property barriers set up by international multinational auto company.
At the same time, with development of industry globalization and intellectual property operation, relative strategy studies on creation, protection, utilization and management of intellectual property rights especially patent, become a concern in circles of academia, industry and government. The research results in domestic and abroad mainly focus on patent strategic concept, function, type, and some link of strategies, and got a lot of convincing conclusions. But those viewpoints and theories have not formed a system. It provides an opportunity for this dissertation to do further studies on theoretical development.
This dissertation follows a research notion of "theory research, framework construction, empirical analysis, strategic design". Based on research of domestic and foreign experts, with integrated theories of industrial economics, international economics, technology innovation, management and intellectual property law, this dissertation puts forward theory of knowledge value chain model. Also based on this model, constructs a patent strategy model which consists of basic patent strategies and resource support system, discusses conceptions and operation modes of patent information analysis, patent development, patent application and protection strategy, sets up an improved SWOT analysis model. Focusing on patent information, this dissertation analyses internal and external environment of Chinese cross-passenger-car industry, makes choice for patent strategy and puts forward a strategic design idea. Through research, this dissertation tries to establish a theoretical framework for cross-passenger-car industry.
The main contents of this dissertation are divided into six parts:
Firstly, theoretical basis for research. Through review research achievements on related theories at home and abroad, this dissertation analyses existing insufficiency, sets up foundation and theoretical analyzing framework for later model building.
Secondly, construction of research framework. Based on the idea of KVC, patent strategy model is constructed from two major functional modules of basic patent activity flow and patent activity support; by introducing quantitative analysis elements in patent activity, constructs an improved SWOT analytical model to provide basis for specific formulation and implementation of patent strategy.
Thirdly, patent strategy system based on KVC. From basic strategy and resources supporting system, this dissertation emphatically demonstrates concepts and modes of strategies of patent information, development, application and protection; Demonstrates composition of resources support, organizational support and culture support.
Fourthly, analysis of patent activities. On KVC basis, with patent map analysis and comparative analysis methods, this dissertation deeply analyses basic patent activities and support activities for Chinese and foreign cross-passenger-car industry, summarizes successful patent strategy experience of Japanese car industry.
Fifthly, patent strategy choice based on KVC. Using patent strategy improved SWOT analysis model, from point of view of basic patents activities and support activities, find out the key influencing factors related industry patent development strategy, puts forward strategy matching for cross-passenger-car industry, namely SO offensive patent strategy accompanied by WO defensive strategy.
Lastly, patent strategy system design based on KVC. In compliance with patent strategy model based on knowledge value chain, mainly from respect of patent strategy principle, target, emphasis and supporting system, this dissertation conceives patent strategy system for cross-passenger-car industry, puts forward corresponding such strategic ideas as patent development, patent application and patent alliance. Cross-passenger-car industry should take different strategies according to different technology level:in the field of body and engine, take strategies of advanced technology development, independent innovation mode, aggressive patent layout and patent alliance. Meanwhile, in line of r electronic, new energy, chassis, transmission technology, take strategies of follow-up technology development, joint development, utilization of invalid patent strategy, defensive patent layout, patent purchase and litigation strategy.
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