【作者】 游训策；

【导师】 谢科范；

【作者基本信息】 武汉理工大学 ， 管理科学与工程， 2008， 博士

【摘要】 在知识经济时代,科学技术突飞猛进,知识成为人类真正的第一生产力。为了适应知识经济时代的发展,保护人类智力成果的知识产权制度得到空前重视。美国、日本等经济发达国家更是将其上升为国家知识产权战略。在国家宏观引导和现实利益的驱动下,越来越多的跨国公司更是将知识产权作为市场竞争的一种“利器”,牢牢“掌握在手中”,以保持其在国际竞争中的优势地位,获取丰厚利润。从我国的现实情况来看,特别是加入WTO后,跨国公司纷纷举起知识产权的“大棒”,对我国企业进行维权投诉和构筑各种贸易壁垒,使我国企业的国际竞争力受到严重威胁。专利联盟正是国外企业经常运用的一种知识产权战略,许多国际大企业甚至通过组建专利联盟来限制“中国标准”在世界的推行。事实上,我国的DVD生产企业就受到了包括3C、6C等专利联盟的巨大影响,电信制造业和服务业也正面临着3G平台的选择问题。在MPEG技术标准、第二代移动通讯标准(GSM)的建立以及当前中外无线局域网(WLAN)、第三代移动通讯(3G)等标准之争的背后都可以看到专利联盟的影响。因此,加强对于专利联盟的研究,了解专利联盟的基本内涵、运作机理、运行模式、组织特点及其对我国经济发展的影响,具有非常重要的现实意义和理论价值。尤其是在我国大力推动自主创新的背景下,我国企业更应该积极运用专利联盟来保护具有自主知识产权的创新成果,否则创新的效果就难以发挥,甚至失效。为此,本文以专利联盟作为研究对象,重点研究了如下内容:第一,专利联盟的基本理论,包括知识产权论、战略联盟论、竞争优势论和技术创新论;第二,专利联盟的内涵、特点与类型;第三,专利联盟运作中的利益关系、约束条件、信息不对称、不稳定性、风险和契约关系等问题,同时,运用博弈论和信息经济学的知识研究了专利联盟运作的契约机制;第四,专利联盟运作中的知识产权协调机制,主要对专利联盟的知识产权开发、运用和交叉许可协调,以及专利联盟运作中的知识产权冲突与协调、对外协调进行了深入分析,揭示了专利联盟中的知识产权冲突机理;第五,基于专利联盟生命周期理论的运作模式,总结归纳了专利联盟各个阶段的运作模式、条件和特征等;第六,专利联盟运作的国内外案例,并以山河智能为例探讨了构建我国工程机械专利联盟的方案建议。更多还原

【Abstract】 Science and technology progress by leaps in the knowledge economy,and knowledge becomes the first productive forces.In order to adapt the development of knowledge economy,the intellectual property rights system which protects intelligence achievement attracts unprecedented attention.Developed countries such as US and Japan consider intellectual property rights as one of their national strategies.Under the national macroscopic guidance and realistic benefit driven,more and more multinational corporations take intellectual property rights as the edge-weapon of the market competition,grasp them firmly in the hand,in order to maintain their preponderant status in the fierce global competition,and obtain rich profit.Seen from the reality of China,especially after joining WTO,many multinational corporations construct various trade barriers in the excuse of intellectual property rights,which bring serious threat to Chinese indigenous enterprises.Patent pool is precisely the very popular intellectual property rights strategy they frequently use.What is more,some of them even limit the carrying out of Chinese standard by way of patent pool.In fact,China’s DVD enterprises have received huge influences from the patent pool of 3C,6C,etc.And China’s telecommunication manufacturing industry and service industry are also facing the problem of 3G platform choice.In the MPEG technology standard,the establishment of the second generation of the Global System for Mobile Communications standard(GSM),as well as the competition between Chinese and foreign Wireless Local Area Network(WLAN) and the third generation of mobile communications(3G),are all suffering the influence of patent pool.Therefore,strengthening the research of patent pool,understanding the basic connotation,the operational mechanism,the movement pattern,the organizational characteristics of patent alliance,and its influence to our national economy development,have vital practical significance and theoretical value.Especially under the background of China’s emphasis on independent innovation,Chinese enterprises should positively utilize patent alliance to protect the innovation achievements from proprietary intellectual property rights.Otherwise,it is difficult for the effect of innovation to display,and even expire.Taking patent alliance as the research object,the important content of this paper is as follows.Firstly,the elementary theory of patent alliance is discussed,including the theory of strategic alliances,intellectual property rights,competitive advantage, and technological innovation.Secondly,the connotation,characteristics and patterns of patent alliance is presented.Thirdly,the benefit relationships,constraint condition, information asymmetry,instability,risks and contractual relationships in patent alliance are all discussed.Simultaneously,the contract mechanism in the operation of patent alliance has been studied by using the knowledge of game theory and information economics.Fourthly,the coordination mechanism of intellectual property rights is investigated.The development,utilization,cross-authorization coordination and conflict resolution of the intellectual property rights in patent alliance are all discussed.Fifthly,based on the operational pattern of the life cycle of patent alliance, the author has summarized the operational patterns,the condition and the characteristics during each stage of patent alliance.Sixthly,domestic and foreign cases of patent alliance are displayed.Taking Hunan Sunward Intelligent Machinery Co.,Ltd as example,the author proposes constructive suggestions for the establishment of China’s patent alliance in China’s construction machinery industry.更多还原