【作者】 金泳锋；

【导师】 余翔；

【作者基本信息】 华中科技大学 ， 技术经济及管理， 2009， 博士

【摘要】 随着知识经济的到来，信息技术的发展，知识、信息、技术在经济中的作用日益突出。高技术产业在一国经济中的比重不断增大，成为一国经济可持续发展的动力与核心，其主导性作用持续增强。但伴随着高技术产业专利迅猛发展的态势，高技术产业的技术创新风险越来越大，专利重要地位进一步凸显，专利风险问题逐步引起广泛的关注。高技术的专利态势可以从申请总体趋势、核心技术体现、专利年度发展趋势、专利年度增长率、专利类型、发明专利、增长率等七个方面进行研究，通过在上述几个方面对信息技术领域相关IPC类别的专利数据进行检索分析，再结合其他重点领域分析基础上，本文研究发现，目前我国高技术产业呈现核心企业及院所领跑、关键技术专利集聚、跨国公司专利围剿的态势。在此基础上，本文又对高技术产业专利绩予以效研究并发现：高技术产业的专利绩效虽然整体上有所提高，但与发达国家相比仍有差距，R&D投入比重偏低；高技术产业中各行业专利绩效水平不均衡，只有电子和通信设备、电子计算机和办公设备专利绩效水平较高。针对这个局面，本文提出：我国政府既要保护知识产权，更要积极防范本地产业掉入知识产权陷阱；高技术产业充分利用与政府关系密切的有利条件，大力推动产业专利技术战略联盟体的构建与发展；高技术企业要坚持技术开发的自主地位，构筑自己的知识产权纵深防御体系等提升绩效策略。与通常把知识产权当作外生风险影响因素的研究不同，本文发现在高科技行业，专利权内部诸因素的不确定性，会引发更为深刻的不确定性影响。这种专利风险主要来源于专利获得的不确定性、专利有效性的不确定性、专利保护范围的不确定性、专利价值的不确定性。它存在于高科技发展的各个阶段，带来损失与受益的可能并存，内生于专利制度，无法完全避免。专利地图包括可进行专利管理分析、专利技术分析与专利权利分析的三类地图，运用这三类地图，可以分析高科技产业的技术生命周期，判断相关领域技术创新主体的多极化地位和关系，评价相关技术领域潜在竞争对手所拥有的创新人员的研究能力，以预测高技术行业的技术创新风险。高技术产业的专利态势和专利风险对高技术产业的技术创新、创新成果的专利价值评估和专利战略都将产生广泛影响。对此我国应当大力建立技术服务支撑体系；正视专利风险和专利态势，增强创新能力，优化法律环境、促进高新区的建设；充分发挥产业集群效应这三大对策来促进高技术产业的健康发展。更多还原

【Abstract】 With the growth of knowledge economy and development of information technology, knowledge, information and technology have made great impact on economy. Hi-tech industry is taking bigger share in the economy of a country and becoming drive and core for the sustainable development of a country’s economy at leading position. Accordingly the fast development of patent in hi-tech industry leads to bigger and bigger risk on technological innovation of hi-tech industry, which gives patents very important role and causes patent risk problems.The trend of hi-tech patent can be studied in seven aspects: the general application trend, core technology presentation, annual patent development trend, annual patent development rate, patent type, patent for invention, rate of increase. Through the index analysis on the above aspects for the relevant IPC patent data of information technology field, and the analysis on other key fields, this paper finds the trend that key enterprises and colleges are leading, key technology patents are concentrated and multinational companies own more patents in the hi-tech industries in our country. On the base of the above, this paper makes research on the patent performance of hi-tech industry and finds that although it has been improved generally, there is a gap between the patent performance in our country with it in developed countries. The gap comes from lower investment in R&D and unbalanced patent performance level in different business in hi-tech industry indicating only electric and telecom equipment, computer and office equipment have higher patent performance level. In front of this situation, this paper gives several ideas to promote the patent performance. Our government shall not only protect intellectual property, but also provent actively our local industries from intellectual property trap. The hi-tech industries shall make full use of the close relationship with local government and exert great efforts to drive the establishment and development of industrial patent technology strategic alliance. And also the hi-tech enterprises shall insist on the independent position of technology development and build their own intellectual property depth protection system.Different from the study regarding knowledge property as exogenous risk factor, this paper finds in hi-tech industry uncertainty of interior factors of patent right causes deeper impact of uncertainty. This kind of patent risk is mainly made by uncertainty of patent acquiry, uncertainty of patent validity, uncertainty of patent protection range and uncertainty of patent value. Existing in every phase of hi-tech development, and giving possibly both loss and benefit, it is caused from the patent system and can not be avoided completely.Patent map has three kinds which can be used for patent management analysis, patent technology analysis and patent right analysis. These three kinds of maps can be utilized to analyze the technology life cycle of hi-tech industry, find out the multi-terminal position and relationship of technology innovation subject in relevant industries, evaluate the research ability of innovation staff from potential competitors in relevant technology industries and forecast the technology innovation risk in hi-tech industry.The patent trend in hi-tech industries and patent risk will make wide influence on technology innovation, patent value assessment of innovation result and patent strategy in hi-tech industries. Therefore, our country should implement three solutions to increase the healthy development of hi-tech industries by first making efforts to set up technology service and support system; second facing the patent risk and trend, improving innovation ability, optimizing legal situation, pushing the construction of hi-tech zone and third exerting fully the effect of industry concentration.更多还原