摘要
在当今知识产权主导的技术环境中,技术标准与专利技术的结合成为电子、通讯等高科技产业内的发展趋势。在这一背景下,技术标准的通用性与专利技术的私权性成为一对基本矛盾,贯穿标准化实施的始末。标准一经制定,标准厂商必须获得关键专利技术的让渡或许可方能进行生产和销售,否则将面临严厉的专利侵权赔偿。由于上述基本矛盾的存在,从20世纪90年代至今,在相关产业内关于标准化技术许可的纠纷和争议就从未终止,技术许可的规制函待完善；另一方面,作为WTO的主要成员国,我国已经充分融入了世界性的标准化进程。而且,我国企业一般作为专利技术的被许可方,属于技术后进者。在多层次的技术溢出条件下,如何适时地调整许可和研发策略,以实现自身的技术积累,是当前我国高新技术企业急需解决的问题。针对这两方面,本文展开了全面和细致的研究,具体可分为三个研究板块：
(1)奠基性研究。首先介绍了知识产权与技术标准结合的研究背景,以及技术标准化实施中存在的专利丛林和专利劫持两类问题。针对以上问题,引出合作性技术标准化的组织形式和各自的职能。标准一经制定,相关专利权人往往凭借其市场力的提升,索取远高于自身专利技术价值的费用。有鉴于此,SSO为了规范标准技术市场提出了披露规则和FRAND规则。本文着重分析了在事后专利劫持、双边许可协商和事前技术竞争等经济情境下FRAND规则的多重含义。最后,以各种情境下专利权人和标准用户之间的制衡关系为基础,提出进一步的政策建议。
(2)模型研究。在前一阶段的研究中,将技术许可的改进方向确定为事前许可协商。在同质投资的观点下,通过一个序贯投资模型刻画了事前协商下许可双方的收益和投资激励,并导致了双边劫持的结果。为了优化许可程序,进一步考察了事前许可协商的实施对研发和生产的影响；并确定了有效率投资下事前协商的适用范围。研究得出以下结论：(1)事前协商下联合预期盈余提高,对厂商的劫持被克服；(2)短期实施提高厂商投资和技术价值,事前协商可行；长期实施导致研发阻滞,事前协商可行性较差。
在技术标准化的实施中,普遍存在着技术领先者对后进者的技术溢出。在合约理论的框架内研究了标准化技术许可的演进：采用一个双边序贯投资模型刻画了许可双方在单向许可下的得益和投资激励,并导致了劫持的后果。之后,基于后进者对核心技术进行局部改进的假设,引入回馈许可机制,并分别考察这一制度下许可双方的收益和研发状况。研究指出：(1)由于后进者谈判力的提升,领先者愿意与之进行交叉许可；(2)上述劫持被克服,后进者的投资和研发激励均得到提高。最后,对后进者提出了进一步的政策建议。
(3)实证研究。这一部分的研究任务是映证模型研究中提出的结论和相关的政策建议。首先,通过采集四个标准制定组织(SSO)披露的专利信息,并以专利引证的方法研究了相关技术在前后相继的3个代际间的绩效,并与非代际标准作比较。随后,对GSM国际性标准展开案例研究,从技术标准的演进和技术偏转两个方向进行论述。案例研究充分证实了双向许可对技术集群的偏转作用。至此,模型研究中的研究假设和主要研究结论都得到了证实。
在本研究的最后,建立了标准化技术评价体系。基于前期的研究成果,模拟当下大型SSO中的标准化技术的演变过程,给出技术评价的基本步骤和应用模式；最后,将实证数据导入模型,完成一份算例分析。该模拟实验对于标准化实施中的技术后进者有重要的参考价值和指导意义。
In a intellectual property-dominated technological environment,the combination of technological standard and patented technology becomes the developing trend in the IT industry. In this case,the compatibility of technological standard and the exclusiveness of patented technology are the two sides of the basic contradiction which runs through the the enforcement of standardazation from the beginning to the end.Ocne the standard is set,the standard manufacturer have to be lisensed by the holder of the essential patent,or he is not allowed to do producing and selling against the stanardised product.For the sake of the above matter,the disputes for the licensing of standardised technology in IT industry have never been ended since the1990s.Thus,the means of the licensing is ineed need to be modified.On the other hand,as a key member of WTO, China has already fully got involved in the global standarzation,and the chinese enterprise always acted as a patent licensee.In a multilevel technology spillover envirment, how to adjust the way of lisencing and R&D strategy,so as to achieve its own techonology accumulation,is becoming more and more urgent for the chinese high-tech enterprise. With these facts,this paper have done a comprehansive and detailed research about the two problem,and the research is organised as follows:
1.Fundamental research. The combination of IP and technological standard was firstly introduced as the research background, and then patent thicket and hold up as the troubles in the enforcement of standardization. With regard to such troubles, the organizational forms of collective standardization and their respective functions were discussed.Essential patent holder was tend to exact royalty much higher than its intrinsic value,once the standard was setted.On that account, SSO requested for IP disclosure and FRAND licensing.Based on the latest foreign research,the various meanings of FRAND licensing were studied in detail in the context of ex post hold-up, bilateral licensing negotiation and ex ante technology competition.Finally, further policy suggestion was provided according to the checks and balances between patent holder and standard user in those contexts.
2.Model research. In the previous part,ex ante negotiation was identified as a proper way to better technology lisensing. A model of sequential investment was applied in the sense of homogeneous investment,firstly characterizing the profit and investment incentive of the two licensing parties, and then resulting in double hold-up which was lack of efficiency for the licensing in some case. To optimize the licensing procedure, the effect of the enforcement of ex ante negotiation on both development and manufacture was invetisigated,and the applicability of ex ante negotiation under the efficient investment was confirmed.It is showed that (1)the joint expected surplus increases in the ex ante negotiantion,and the manufacturer's hold-up is solved (2)the short-term enforcement enhances the manufacturer's investment and the value of technology, ex ante negotiation is feasible;the long-term enforcement causes R&D deterrence, ex ante negotiation is less feasible.
In the enforcement of technological standarzation,there always exists technology spillover between technology leader and follower. Accordingly, some follower tends to achieve its own technology accumulation and further innovation through technology licensing. Therefore this paper attempts to make a contractual study on the course of technology licensing:a model of sequential bilateral investment was applied in the sense of incomplete contrct, firstly characterizing the profit and investment incentive of the two parties in one-side licensing,and then resulting in hold up.By the assumption that the core technology was modified by the follower,the back-grant licensing was introduced,and the two parties' profit and R&D were investigated respectively.
3. Empirical study. This part of research is designed to verify those conclusions that was proposed in the model research.First,the patent information was gethered from4standard setting organizations (SSO) during the patent disclosure.Then, by using the method of patent citation,the performance of those patented technology was investigated in3successive standard period.Secondly,GSM international standard was investigated in a case study,in which the evolution and the shift of standardised technology was respectively taken as research dimension.In the case study,the effect of double-side licensing on the shift of techonology was fully confirmed.
In the last part of the research,a performance appraisal system for periodical standardised technology was established.The eovolution of the standardised technology was stimulated by tracing its form,then the basic procedure and application mode were provided.Finally,a calculation example was finished.The performance appraisal system is very practical and useful for the technilogy follower in the enforcement of standardazation.
引文
[1]Anderson P, and Tushman M. L. Technological discontinuities and dominant designs:A cyclical model of technological change[J].Administrative Science Quarterly.2009,5(35):604-633.
[2]Arundel.Anthony. The Relative Effectiveness of Patents and Secrecy for Appropriation[J]. Research Policy.2001(30):611-624
[3]Lea G, Hall P. Standards and intellectual property rights:an economic and legal perspective [J]. Information Economics and Policy,2004(16):67-89
[4]葛亚力.技术标准战略的构建策略研究.中国工业经济,2003,(6)：91-95
[5]G M Peter Swann.The Economics of Standardization[M]. Final report for stand ards and technical regulations directorate department of trade and industry2007.
[6]David P A, Greenstein S.The economics of compatibility standards:an introduction to recent research.Economic Innovation and New Technology.2006, (1):3-41
[7]B N Rosen. The Standard Setter's Dilemma[J].Industrial Marketing Management. 2004,23(3):58-74.
[8]Farrell Joseph, G. Saloner. Standardization,Compatibility and Innovation[J]. Rand Journal of Economic,1999, (16):70-83.
[9]Philipp Genschel. How fragmentation can improve co-ordination:Setting standards in international telecommunications [J]. Organization Studies; 2007,18(3):24-41.
[10]李大平,曾德明.高新技术产业技术标准联盟治理结构和治理机制研究[J].科技管理研究,2006(10)：78—80.
[11]陈春晖.曾德明.高技术产业技术标准联盟优势研究.长沙：湖南大学博士学位论文.2007,10
[12]严清清,胡建绩.技术标准联盟及其支撑理论研究[J].研究与发展管理.2007(1)：100-104
[13]Wernerfelt,B. A resource-based view of the firm [J]. Strategic Management Journal.1984,(5):272-280.
[14]Galaskiewicz J. Interorganizational relations[J].Annual Review of Sociology. 1985, (11):281-30
[15]Madhok A.,Tallman S. Resources, transactions and rents:managing value through interfirm collaborative relationships [J]. Organization Science.1998, (9):326-339
[16]Gulati R., Nohria N., ZaheerA.. Strategic network[J].Strategic Management Journal.2000,(3):203-215.
[17]Rohlfs Jeffrey. A Theory of Interdependent Demand for a Communications Service[J].Bell Journal of Economics,1974,(1):16-37
[18]Michael L. Katz, Carl Shapiro. Network externalities, competition,and compatibility [J].American Economic Review,1985, (75):424-440
[19]Farrell, Saloner. Converters, compatibility, and the control of interfaces [J]. Journal of Industrial Economics,1992, (40):9-35
[20]吴文华,张琰飞.技术标准联盟对技术标准确立与扩散的影响研究[J].科学学与科学技术管理.2006,(4)：44-47
[21]Church,Jeffrey and Neil Gandal.Network Effects, Software Provision, and Standardization[J].Journal of Industrial Economics, March 1992,(40):85-142
[22]Nonaka I.The knowledge-creating company [J].Harvard Business Review.1991, (6):96-104
[23]Davis A.B.,Aldrich H.E.The organizational advantage?Social capital.gender and small business owners'access to resources.American Sociological Association meetings. University of North Carolina.2000
[24]Molina-Morales F.X.,Martinez-Fernandez M.T.How much difference is there between industrial district firms?A net value creation approach[J].Research Policy.2004, (3):473
[25]Kim&Chang-su.The co-evolution of alliance and technology networks:Alliances and inter-firm learning in the global Pharmaceutical industry.2002, DAI-A63/02: 664
[26]Badaraccojoseph L.The Knowledge Link:How Firms Compete Through Strategic Alliances.Boston,MA:Harvard Business School Press.1991
[27]Carayannis E.G.,S.K.Kassicieh R.Radosevich. Strategic alliances as a source of early stage seed capital in new technology-based firms[J]. Technovation. 2000,(20):603-615
[28]Garvin, David A. What does Product Quality Really Mean? Sloan Management Review.1984, (26):25-43
[29]毕雪梅.顾客感知质量研究[J].华中农业大学学报,2004,(3)：42-45
[30]Brucks, Merrie,Valarie A. Zeithaml and Gillian Naylor. Price and brand name as indicators of quality dimensions for consumer durables [J].Academy of Marketing Science,2000,(3):217-222
[31]Reimer,Anja and Richard Kuehn. The impact of servicescape on quality perception[J].European Journal of Marketing.2005, (7/8):785-808
[32]Zeithaml,larie A. Consumer Perceptions of Price,Quality and Value:A Means-End Model and Synthesis of Evidence[J]. Journal of Marketing.1988, (3):2-22
[33]Olson, J. C., J. Jacoby. Intrinsic,Versus Extrinsic Cues as Determinants of Perceived Product Quality[J]. Journal of Applied Psychology.1974, (59):7
[34]Stone-Romero,Eugene F., Stone, Dianna L. Development of a Multidimensional Measure of Perceived Product Quality[J]. Journal of Quality Management,1997, (1):87-111.
[35]Hennig-Thurau,Thorsten,Klee,Alexander.The Impact of Customer Satisfaction and Relationship Quality on Customer Retention:A Critical Reassessment and Model Development[J]. Psychology&Marketing.1997, (8):737-765.
[36]李晓佳.产品感知质量与顾客关系质量关系的实证研究.长春：吉林大学硕士论文.2008,4
[37]Porter, M.E. Competitive Advantage. Free Press, New York.1985
[38]Woodruff,Robert B. Customer Value:The Next Source for Competitive Advantage [J] Journal of the Academy of Marketing Science.1997,(2):142
[39]Gronroos C. Value-driven Relational Marketing:from Products to Resources and Competencies [J]. Journal of Marketing Management.1997,(5):407-419
[40]Slater, Stanley F., and John C. Narver. Market Orientation, Customer Value, and Superior Performance.Business Horizons.1994,(3-4):22-28
[41]Gardial, Sarah F., D. Scott clemons, Robert B. woodruff, David W. Schumann, and Mary K. Burns.Comparing consumers' Recall of Prepurchase and Postpurchase Product Evaluation Experiences [J]. Journal of Consumer Research.1994,20:548-560.
[42]Parasuraman A.Reflection on Gaining Competitive Advantage Throng Customer Value[J]. Journal of the Academy of Marketing Science.1997, (2):139-153
[43]Olive R.L. Satisfaction:a behavioral perspective on the consumer. McGraw-Hill: New York.1997
[44]汪发明.网络效应产品的顾客价值分析[J].工业技术经济.2007,(3)：120-123
[45]Vasilis A.Angelis,Constantine Lymperopoulos and Katerina Dimaki, Customers' perceived value for private and state-controlled Hellenic banks[J].Journal of Financial Services Marketing,2005,(9):360-374
[46]Sheth, J.N., Newman, B. I.,& Gross, B.L.Why we buy what we buy:A theory of consumption values[J]. Journal of Business Research,1991, (22):159-170.
[47]Berry,L.L.(2000).Cultivating Service Brand Equity[J]. Journal of the Academy of Marketing Science.2008,(1):128-137
[48]菲利普·科特勒.营销管理.第10版.梅汝和等译.北京：中国人民大学出版.2001,3
[49]Ravald,Christian Gronroos. The value concept and relationship marketing[J]. European Journal of Marketing,1996, (2):19-30
[50]Raymond A. Bauer. Consumer Behavior as Risk Taking. In:R.S. Hancock, Editor, Dynamic Marketing for a Changing World, American Marketing Association, Chicago.1960
[51]Cox, D. F. Risk Taking and Information Handing in Consumer Behavior. Boston: Harvard University Press.1967:1-19
[52]Stone,R.N.,K.Gronhaug.Perceived Risk:Further Considerations For The Marketing Discipline[J]. European Journal of Marketing.1993, (3):54-60
[53]Woodside, A. G. Interactions of Consumption Situations and Brand Attitudes[J]. Journal of Applied Psychology.1976, (6):764-769
[54]Roselius, T. Consumer rankings of risk reduction methods[J].Journal of Marketing.1971, (1):56-61
[55]Stone,R.N.,K.Gronhaug. Perceived Risk:Further Considerations For The Marketing Discipline [J]. European Journal of Marketing.1993, (3):54-60
[56]Cunningham,S. M.The Major Dimensions of Perceived Risk. Boston:Harvard University Press.1967:82-108
[57]Peter, J. P.& M. J. Ryan. An investigation of perceived risk at the brand level[J]. Journal of Marketing Research.1976, (5):184-188.
[58]Henderson, R and.Roberts, P. Information technology acceptance in a sample if government employees:a test of the technology acceptance model. Interacting with Computers.2000,(12):427-443
[59]夏显波,李靖华.信息经济下的网络效应[J].科技进步与对策.2002,(5)：144-146
[60]吴文华,张琰飞.技术标准联盟对技术标准确立与扩散的影响研究[J].科学学与科学技术管理.2006,(4)：44-47
[61]Peter Grindley. Winning standards contests:using product standards in business strategy[J].Business Strategy Review, Spring.1990:71-84
[62]Zeithaml,V.A..Consumer Perceptions of Price,Quality,and Value:A Means-end Model and Synthesis of Evidence[J],Journal of Marketing.1988,July:2-21
[63]黄海滨,段文奇.网络效应新产品的价值定价[J].统计与决策.2008,(4)：111-113
[64]曾德明,方卉,彭盾.高技术企业协作R&D网络与技术标准联盟契合动因分析[J].科技进步与对策.2008(1)：75-77
[65]Teece D.,Pisano G.,Shuen A.Dynamic dapabilities and strategic management [J]. Strategic Management Journal.1997, (7):509-533
[66]谭静.论企业标准联盟的动机.决策借鉴.2000,5：7-9
[67]骆品亮,卢庆杰.关于合作R&D的经济学分析[J].研究与发展管理,2001,(8)：1-4
[68]Webb, J., Gile, C. Reversing the value chain[J] Journal of Business Strategy. 2001,(22):13-17
[69]孙耀吾,曾德明.技术标准合作：高技术企业集群创新研究的新视角[J].财经理论与实践(双月刊).2005,(11)：89-93
[70]Dyer, J.H.& Singh, H..The relational view:Cooperative strategy and sources of interorganizational competitive advantage [J].Academy of Management Review. 1998,(23):660-679
[71]Kogut, Bruce, and Udo Zander.Knowledge of the Firm, Combinative Capabilities, and the Replication of Technology [J]. Organization Science.1992,(3):383-397
[72]Carayannis E.G., S.K. Kassicieh, R. Radosevich. Strategic alliances as a source of early stage seed capital in new technology-based firms[J].Technovation. 2000,(20):603-615
[73]葛亚力.技术标准战略的构建策略研究[J].中国工业经济,2003,(6)：91-95
[74]G M Peter Swann.The Economics of Standardization[M]. Final report for stand ards and technical regulations directorate department of trade and industry,2000
[75]David,P.A.,Greenstein,S. The economics of compatibility standards:an introduction to recent research.Economic Innovation and New Technology.1990, (1):3-41
[76]BN Rosen. The Standard Setter's Dilemma[J].Industrial Marketing Management. 2004,(23)
[77]Philipp Genschel. How fragmentation can improve co-ordination:Setting standards in international telecommunications [J]. Organization Studies; 1997,4
[78]李大平,曾德明.高新技术产业技术标准联盟治理结构和治理机制研究[J].科技管理研究,2006(10)：78—80.
[79]陈春晖.曾德明.高技术产业技术标准联盟优势研究.长沙：湖南大学博士学位论文.2007,10
[80]David Faulkner and Cliff Bowman.The Essence of Competitive Strategy.Prentice Hall International (UK) Limited,1995
[81]David T. Robinson. Strategic Alliances and Thee Boundaries of the Firm, Columbia University workingPaPer.2001
[82]张琰飞 吴文华.信息产业技术标准联盟发展阶段理论研究[J].科学学与科学技术管理.2007,(10)：15-19
[83]徐小钦,刘璇.我国中小高新技术企业战略联盟构建研究.重庆：重庆大学硕士论文.2006,4
[84]余江,方新,韩雪.通信产品标准竞争中的企业联盟动因分析[J].科研管理.2004,(1)：129-132
[85]Cohen W. and Levinthal D.. Innovation and learning:the two faces of research and development[J]. The Economic Journal.1989, (99):569-596
[86]Nonaka, Ikujiro,Hirotaka Takeuchi.The Knowledge-Creating Company.Oxford University Press, New York.1995
[87]Katz,M.L.&Shapiro,C.Technology adoption in the presence of network externalities[J] Journal of Political Economy.1986,(4):822-841
[88]吴广谋,盛昭翰.企业研发体制的演化与研发的综合协调模式[J].科研管理.2000,(6)：49-54
[89]孙耀吾,曾德明.技术标准合作：高技术企业集群创新研究的新视角[J].财经理论与实践(双月刊).2005,(11)：89-93
[90]Gregory B. Turner; Stephen A. Lemay; Hartley Mark and Charles M.Woods. Interdependence and Cooperation in Industrial Buyer-Supplier Relationships[J]. Journal of Marketing Theory and Practice.2000, (1):16-24
[91]Burrows J H.Information Technology Standards in a Changing World:The Role of the Users [J]. Computer Standards and Interfaces,1993,(1):49-56
[92]Magnus Holmen,Staffan Jacobsson.A method for identifying actors in a knowledge-based cluster. DRUID Working Paper.1998,(11):98-126
[93]ZhouJian.Differentiation between Joint Ventures and Strategic Alliances under the New Economy:Firm strategy perspective:The Proceedings of the Fourth International Symposium on Multinational Business Management. Nanjing University Press, China.2002:300-314
[94]Frederic Tomala,Olivier Senechal.Innovation management:a synthesis of academic and industrial points of view[J].International Journal of Project Management.2004,(22):281-287
[95]Knut Blind,Nikolaus Thumm.Interrelation between patenting and standardization strategies:empirical evidence and policy implications [J].Research Policy 2004,(33):1583-1598
[96]Peter Drahos,Imelda Maher.Innovation,competition,standards and intellectual property:policy perspectives from economics and law[J].Information Economics and Policy,2004,(16):1-11
[97]Christopher Palmberg.Technological systems and competent procurers—the transformation of Nokia and the Finnish telecom industry revisited? Telecommunications Policy.2002,(26):129-148
[98]Gao Ping,Rafiq,Adnan.The transformation of the mobile telecommunications industry in Pakistan:A developing country perspective[J].Telecommunications Policy.2009,(33):309-323
[99]舒辉.标准竞争中的市场策略分析[J].商业经济与管理.2008,(5)：23-28
[100]Jaesun Wang, Seoyong Kim. Time to get in:The contrasting stories about government interventions in information technology standards-the case of CDMA and IMT-2000 in Korea[J]. Government Information Quarterly.2007,(24):115-134
[101]Keil, T.,Maula, M.,Schildt, H.,Zahra S.The Effect of Governance Modes and Relatedness of External Business Development Activities on Innovative Performance [J]. Strategic Management Journal.2008,(8):895-907
[102]John Hagedoom.The Transition from Strategic Technology Allianees to Mergers and Aequisition:An Exploratory Study[J]. Journal of management Studies.1999,1
[103]Gulatir, Singh H. The architecture of cooperation:actional value analysis: managing coordination costs and appropriation concerns in strategies alliances[J]. Administrative Science Quarterly.1998,43:781-814
[104]R Narula Hagedoom J. Innovating through strategic alliances:moving towards international partnerships and contractual agreements [J]. Techno vation, 1999(19):283-294
[105]Sampson R C. Organizational choice in R & D alliances:knowledge-based and transaction cost perspectives[J].Managerial and Decision Economics.2004, (6/7):421-436
[106]Higgins,E.T.Self-Discrepancy:A Theory Relating Self and Affect[J]. Psychological Review.1987,(94):319-340
[107]Bekkers Rudi, Geert Duysters, Bart Verspagen. Intellectual property rights, strategic technology agreement and market structure:the case of GSM[J].Research Policy,2002,(7):1140-1161
[108]Chakravarti Amitav and Jinghong Xie.The Impact of Standards Competition on Consumers:Effectiveness of Product Information and Advertising Formats[J]. Journal of Marketing Research.2007,(5),251-260
[109]Rogers, E.M..Diffusion of innovations.The Free Press.New York.1995
[110]Anderson, E. W., M. Sullivan. The Antecedents and Consequences of Customer Satisfaction for Firms[J]. Marketing Science,1993,(2):125-143
[111]Bengtsson and Servais, A. Bengtsson and P. Servais.Co-branding on industrial markets[J]. Industrial Marketing Management.2005,(34):706-713
[112]Rao A R,Qu L,Ruekert R W.Signaling Unobservable Product Quality through A Brand Ally[J]. Journal of Marketing Research.1999,36(2)
[113]Webb, J., Gile, C. Reversing the value chain[J]. Journal of Business Strategy. 2001, (22):13-17
[114]Taylor J·W. The role of risk in consumer behavior[J]. Journal of marketing. 1974, (38):54-60
[115]李再扬,杨少华.GSM：技术标准化联盟的成功案例[J].中国工业经济.2003,(3)：89-95
[116]谢伟,赵志平.如何获取标准创造的价值[J].科学学与科学技术管理,2005,(8)：29-33
[117]Oxley J E. Appropriability hazards and governance in strategic alliances:a transaction cost approach[J].Journal of law,Economics & Organization. 1997,(13):387-409
[118]Mowery,D.C,J. E. Oxley and B. S. Silverman.Strategic alliances and interfirm knowledge transfer [J]. Strategic Management Journal.1996 Winter Special Issue.17
[119]Lefkoff-Hagius, R.& Mason, C. H.. Characteristic, beneficial and image attributes in consumer judgments of similarity and preference [J]. Journal of Consumer Research,.1993,(6):100-110
[120]杨龙,王永贵.顾客价值及其驱动因素剖析[J].管理世界.2002,(6)：146-147
[121]MacKenzie,Richard W. Olshavsky.A Reexamination of the Determinants of Consumer Satisfaction[J]. Journal of Marketing.1996,(6):15-32
[122]Corinne Autant-Bernard, Billand Pascal, Frachisse David, Massard Nadine. Social distance versus spatial distance in R D cooperation:Empirical evidence from European collaboration choices in micro and nanotechnologies.Available from www.blackwell-synergy.com.2007,(86):495-519
[123]Niederkofler, M.The evolution of strategic alliances:Opportunities for managerial influence[J].Journal of Business Venturing.1991,(6):237-257
[124]Harrigan, K. R.Joint Ventures and Competitive Strategy [J].Strategic Management Journal,1988:141-158
[125]田阳.高新技术产品的消费者知觉风险实证研究.广州：广东外语外贸大学硕士论文.2006
[126]Jillian C. Sweeny and Feoffrey N. Soutar. Consumer perceived value:The development of a multiple item scale.2001,(77):203-220
[127]黄海滨,段文奇.网络效应新产品的价值定价[J].统计与决策.2008,(4)：111-113
[128]曾五一,黄炳艺.调查问卷的可信度和有效度分析[J].统计与信息论坛.2005,(6)：11-15.
[129]Guieford, J. P. Fundamental Statistics in Psychology and Education, New York: McGraw-Hill.1965.
[130]Nunnally,J.C. Psychometric theory. New York:McGraw Hill.1978
[131]张文彤SPSS11统计分析教程(高级篇).北京：北京希望电子出版社,2002：190-232.
[132]温忠麟,张雷,侯杰泰,刘红云.中介效应检验程序及其应用[J].心理学报.2004,(5)：614-620
[133]候杰泰,温忠麟,成子娟.结构方程模型及应用.北京：教育科学出版社,2004
[134]Loehlin, J.C. Latent Variable Models:An Introduction to Factor, Path, and Structural Analysis, Lawrence Erlbaum Associates, Publishers Hillsdale, NJ, 1992.
[135]Rogers E M. Diffusion of innovations (3rd edition). London:The Free Press, 1983,200-255
[136]Bas F M.A new product growth model for consumer durables.Management Science,1969,15(5):215-227
[137]孟晓飞,刘洪,吴红梅.网络环境下知识扩散的多智能体模型研究.科学学研究,2003,21(6)：635-641
[138]Robin Cowan, Nicolas Jonard. Network structure and the diffusion of know-ledge. Journal of Economic dynamics & Control,2004, (28):1557-1575.
[139]李金华.知识流动对创新网络结构的影响——基于复杂网络理论的探讨.科技进步与对策,2007,24(11)：91-94.
[140]Zander,U.Exploiting a technological edge:voluntary and involuntary dissemi-nation of technology.International business,1991,37(2):233-246
[141]Dorothy Leonard.Talking with Dorothy Leonard.Emst & Young's Center for business innovation,1997.
[142]C.W.Holsapple, Victor, William.et.al.An experimental investigation of the impact of domain complexity on knowledge acquisition methods.Expert Sysetems with Application,2008, (35):1084-1094.
[143]常荔,邹珊刚,李顺才.基于知识链的知识扩散的影响因素研究.科研管理,2001,22(5)：122-127.
[144]Cohen.Weskey M, Levinthal, Daniel A. Absorptive capacity:a new perspective on learing and innovtioan.Administrative Science Quarterly,2008, (35):128-152.
[145]陈娟,芮明杰.高技术企业知识员工间的知识传播模型.研究与发展管理,2004,5(10)：46-52
[146]Jason J.Jung. Trustworthy knowledge diffusion model based on risk discovery on peer-to-peer networks.Expert systems with applications,2009, (36):7123-7128.
[147]Marshall,A. Principles of Economics.Macmillan,London,and 8th Edition,1990
[148]Ron A, Boschma. Proximity and innovation:a critical assessment. Regional studies,2005,39(1):61-74.
[149]Sandra Phlippen. Come close and co-create:Proximities in pharmaceutical innovation networks. Erasmus Universiteit.2008.
[150]Olav Sorenson, Jan W. Rivkin, Lee Fleming. Complexity networks and knows--ledge flow, Research Policy,2006, (35):994-1017.
[151]Richard Taylor. Innovation, Networks and proximity:an Applied Evolutionary Model.4th European Meeting on Applied Evolutionary Economics (EMAEE)
[152]Jean Marc, Callois. The two sides of proximity in industrial clusters:The trade off between process and product innovation. Urban Economics,2008, (63): 146-162.
[153]徐乾.基于认知视角的集群知识传播与企业竞争优势研究：[浙江大学博士论文].杭州：浙江大学,2008.
[154]徐占忱,何明升.接近性、互动网络与区域企业集群创新.科学学与科学技术管理.2005,(6)：87-91.
[155]Coleman, J., Social capital in the creation of human capital. American Journal of Sociology,1988,94:95-120.
[156]Kaj U.Koshinen, Pekka Pihlanto, Hannu Vanharanta.Tacit knowledge acquisi--tion and sharing in a project work context. International Journal of Project Managem -ent,2003,(21):281-290.
[157]Sally Javenprot. Exploring the role of proximity in SME knowledge acquisition. Research Policy,2005, (34):683-701.
[158]Breschi S., Lissoni F. Mobility and social networks:localized knowledge spillovers revisited. Paper presented at the workshop' Clusters in High technology:Aerospace, Biotechnology and Software Compared', Montreal, Canada,2002, November.
[159]Green, D G Hierarchy. Complexity and Agent Based Models.In Our Fragile World:Challenges and Opportunities for Sustainable Development. UNESCO, Paris. Green, DG,2000.
[160]李宏亮.基于Agent的复杂系统分布仿真：[博士学位论文].长沙：国防科技大学,2001.
[161]Rosanna Garcia.Uses of Agent Based Modeling in innovation—New product Development Research. Product innovation management.2005,22:380-398
[162]Kieron Meagher, Mark Rogerbs.Network density and R&D spillover. Journal of Economic Behavior & Organization,2004, (53):237-260.
[163]Robert A. Advancing the Art of Simulation in the Social Sciences.Complexity Magazine,1987,3(2):112-146.
[164]廖守亿,戴金海.复杂适应系统及基于Agent的建模与仿真方法.系统仿真学报,2004,16(1)：113-117.
[165]李宏亮,程华,金士尧.基于Agent的复杂系统分布仿真建模方法的研究.计算机工程与应用.2007,43(8)：209-214.
[166]李群,宣慧玉.基于Agent仿真技术在经济建模中的应用.系统工程理论方法应用.2001,10(3)：221-225.
[167]Lettau M.Explaining the facts with adaptive agents:the case of mutual fund flows.Journal of Economic Dynamics and Control,1997, (21):1117-1148.
[168]Gilbert,Nigel, Pyka, et al. Innovation Networks-A simulation Approach. Journal of Artificial Societies and Social Simulation,2001,4(3):8-34.
[169]Mo rone P.& Taylor,R. Knowledge Diffusion Dynamics and Network Properties of Face-to-face Interactions. Journal of Evolutionary Economic,2004, (14) 327-351.
[170]Steinle C.,Schiele H.When Do Industries Cluster? A Proposal on How to Assess an Industry's Propensity to Concentrate at a Single Region or Nation, Research Policy,2002,31:849-858.
[171]Guido Fioretti. Agent-based Models of Industrial Clusters and Districts. Univer-sity of Bologna, working paper.2005:78-98.
[172]Nigel Gilbert, Andreas Pyka, Petra Ahrweile.Simulating knowledge dynamics in innovation networks.University of Augsburg, Department of Economics. Worki--ng paper,2004.
[173]Vito Albino, Nunzia Carbonara, Ilaria Giannoccaro.Innovation in industrial districts:An agent-based simulation model.International Journal of Product economics.2006,10(4):30-45.
[174]魏奇.原生性产业集群演进的多主体模拟分析：[浙江大学硕士论文].杭州：浙江大学,2006.
[175]任锦鸾.基于复杂性理论的创新系统理论及应用研究：[博士学位论文].天津：天津大学,2002.
[176]Singh J,Collaborative networks as determinants of knowledge diffusion patterns, Management Science 2005,(5):756-770
[177]Sinan Sinanovic, Don H.Johnson.Toward a Theory of Information Processing. Signal Processing,2007,87(6):1326-1344
[178]邓忆瑞,徐小峰,赵金楼.网络环境下信息扩散的动力机制研究.情报杂志.2008,(4)：61-64
[179]P Stoneman,P Diederen.Technology diffusion and public policy.The Economic Journal,1994,104(7):918-930
[180]P Stoneman, M J Kown. Technology adoption and firm profitability Economic Journal,1996,106(7):952-962
[181]J T Chiang. From mission oriented to diffusion oriented paradigm:the new trend of US Industrial technology policy.Technovation,1991,(11)339-356
[182]陈冬,顾培亮,侯文华.一种由需求驱动的信息技术创新与扩散政策生成体系. 科学学研究.2003,21(4)：442-447
[183]沈必扬,池仁勇.企业创新网络：企业技术创新研究的一个新范式.科研管理,2005,26(3)：84-91
[184]李志刚,汤书昆,梁晓艳等.基于网络结构的产业集群知识创新和扩散绩效.系统工程.2007,25(5)：1-8
[185]李莉.基于网络嵌入性的核心企业知识扩散方式对知识获取绩效研究：[博士学位论文].西安：西安理工大学,2008
[186]Maskell and MalmberingA. The competitiveness of firms and regins. European Urban and Regional Studies,1999, (6):9-25
[187]Nonka I.A dynamic theory of organizational Knowledge creation.Organization Science,1994,(5):14-37
[188]Self Organizing Innovation Network.Simulation Self Organizing innovation network Projects. European Union,2000, Newsletter No.3.Available at:http:// www.uni-bielefeld de/iwt/sein (accessed June 23,2005)
[189]Wendler and Day. Best practice and beyond:knowledge strategies.Mckinsey quarterly,1998(1):19-52
[190]Kumar N. Intellectual property rights, technology and economic development: experiences of Asian countries[J]. Commission Background paper.2002,27-35
[191]杨中楷.基于专利计量的专利制度功能分析[D].大连理工大学博士学位论文.2007
[192]Cao Lingling.Establishing PCT Search Files in the Chinese Patent Office[J]. World Patent Information.1996(18):83-85
[193]Eisenberg HM. Foreign patent applications:The patent cooperation treaty[J]. The applied technologies of biopharmaceutical development [J].2001(7):59-60
[194]Maskus.K.E, M.Penubalti. Patents and international trade[D].University of Colorado,Boulder,CO.1994
[195]Carlos A.Primo Braga,Carsten Fink. The Economic Justification of the Grant of Intellectual Property Rights:Patterns of Convergence and Conflict[R].Public Policy and Global Technological Integration. London:Kluwer law International.1997:99-122
[196]KeithE. Maskus, Mohan Penubarti. How trade-related are intellectual rights?[J].Journal of Inter—national Economics,1995:227-248
[197]Pamela J. Smith. Are weak patent rights a barrier to U.S. exports?[J]. 1999(1):151-177
[198]Mohammed Rafiquzzaman. The impact of patent rights on international trade: evidence from Canada[J].Canadian Journal of Economics.2002(2):307-330
[199]Markusen J R. Contracts, Intellectual property rights and multinational investment in developing countries[J].Journal of International Economics, 2001(53):189-204
[200]Yang G, Maskus K E. Intellectual property rights, licensing, and innovation in an endogenous product-cycle model [J].Journal of International Economics, 2001(53):169-187
[201]Gene M. Grossman, Edwin L.-C. Lai. International Protection of Intellectual Property[D].2002
[202]Tobiason,Joanna Vinluan. The impact of stronger intellectual property rights on united states multinational firms'decisions to invest, license, and export[D]. Duke university.2004
[203]Christopher Ngassam. Does the presence or lack of intellectual property right protection affect international trade flows in emerging market economics? An exploratory study [J].Proceedings of the Academy for Studies in International Business.2004(4)
[204]Lei Yang,Keith E. Maskus. Intellectual property rights, technology transfer and exports in developing countries [J] Journal of Development Economics. 2009:231-236
[205]Schmookler, Jacob. Invention and Economic Growth[M].Cambridge:Harvard University Press,1966
[206]Archibugi.A.Patenting as An Indicator of Technological Innovation:A Review[J].Science and Public Policy,1992,9 (6):357-368
[207]Arundel.Anthony. The Relative Effectiveness of Patents and Secrecy for Appropriation[J]. Research Policy.2001(30):611-624
[208]Zoltan.J.Acs, Luc Anselin, Attila Varga. Patents and Innovation Counts as Measures of Regional Production of New Knowledge[J].Research Policy.2002 (31):1069-1085
[209]Furman. Jeffrey L., Porter. Michael E., Stern-Scott. The Determinants of National Innovative Capacity [J].Research Policy.2002(31):899-933
[210]Z. Griliches. Patent Statistics as Economic Indicators:A Survey[J] Journal of Economic Literature.1990,28(4):1661-1707
[211]Arundel. Anthony, Kabla. Isabelle. What Percentage of Innovations are Patented? Empirical Estimates for European Firms[J].Research Policy 1998(27):127-141
[212]Biju Paul Abraham. Innovation assessment through patent analysis[J]. Technovation.2001(4):245-252
[213]W.H.Gruber, D. Mehta, R. Vernon. The R&D Factor in International Trade and Investment of United States Industries[J]. Journal of Political Economy.1967(2)
[214]Krugman,Paul. A Model of Innovation, Technology Transfer, and the World Distribution of Income [J]. Journal of Political Economy.1979(87):253-66
[215]Dollar.R. Technological innovation, capital mobility, and the product cycle in North-South trade [J].American Economic Review.1986(76):177-190
[216]Jensen.R,Thursby.M. A strategy approach to the product life cycle [J]. Journal of International Economics,1986 (21):269-284
[217]Diewert. W.E. The effects of an innovation:a trade theory approach, Effects of an Innovation [J]. Canadian Economics Association.2001