【作者】 王智源；

【导师】 宋伟；

【作者基本信息】 中国科学技术大学 ， 管理科学与工程， 2010， 博士

【摘要】 知识产权既是社会、经济、文化发展的自然结果和主动设定,又是不断推动社会、经济、文化前行的催化元素与重要支柱。综合现有的对知识产权概念的不同界定,本文研究认为知识产权是人们或组织对其智力活动创造的成果、及其以商业为主体的各种活动所产生的特定标记等,通过依法界定并拥有的专有权利,是经济管理资源的对象和要素。从经济管理视角看,知识产权是和其他不同类型的财产权相并列的一种生产要素,而且在知识经济、低碳经济时代其地位愈益卓著。理论上讲,知识产权的创造、保护、管理、运用的模式是多种多样、仁者见仁的,但本文研究认为知识产权经济合作与交易是知识产权创造、保护、管理、运用的关键环节。此外,在通常的关注企业、高校、科研院所等微观组织内部知识产权问题的同时,必须能够“跳出组织”、“突破边界”,对组织间的知识产权问题予以专门的深入的探究。知识产权既成为组织间经济合作和交易的对象,又成为组织间进行经济合作和交易的纽带,开展组织间知识产权经济合作与交易问题研究,有着较强的理论与现实意义。在行文结构安排上,论文首先展开组织间知识产权经济合作与交易问题的分项研讨,同时认为在一定程度上,组织间的知识产权交易也是一种特殊的知识产权经济合作,并从知识产权公共政策分析的角度,对组织间知识产权的经济合作与交易问题进行了整体性思考。组织间知识产权经济合作部分。本文研究认为,组织间知识产权经济合作是指参与合作的组织中的一方或者多方,以知识产权要素作为合作的基础,撬动组织间各类资源的优化配置,力求实现所有合作组织经济的共同发展。组织间知识产权经济合作也是一个既有协同又有竞争的过程,正是在竞争中达成协同的均衡态势,引发了形态各异的组织间知识产权经济合作类型。首先利用图例等显示手段对现实存在的组织间知识产权经济合作模式进行梳理,着重对国际合作、区域合作、专利池、版权联盟、商标特许经营、交叉许可等问题进行解析。以知识产权自身特性及其宏观管理制度引致、知识产权传播扩散、自组织理论、组织发展的外部条件和沟通推动等作为主要因素,着力把握知识产权经济合作的动力来源及其动力机制。从逆向选择、道德风险、“敲竹杠”、讨价还价、公平与互惠、制度设计等视角,剖析组织间知识产权经济合作中存在的问题及其根源。基于一般管理理论的指导,深入挖掘组织间知识产权经济合作中的管理元素。进一步地,以企业间知识产权动态联盟的博弈模型分析为例,从一个侧面研究知识产权经济合作的风险控制问题。揭示在组织间知识产权经济合作剩余的分配过程中,各方可以通过讨价还价或达成一种默契来防范风险和实现均衡。并结合典型案例讨论,提出维护好组织间知识产权经济合作的几项原则。组织间知识产权交易部分。本文研究认为,知识产权交易是以货币为媒介的知识产权,以及包含知识产权的产品和服务的价值交换。首先尝试厘清组织间知识产权交易的基本形式,整理组织间知识产权交易的主要形态。指出在组织间知识产权交易背后起作用的是价格竞争、供求均衡、垄断博弈、价值最大化等市场规律。总体上看,无论采取何种交易方式,对组织间知识产权交易参与者而言,其核心是要实现交易的便捷、流程的优化与知识产权价值的充分挖掘。对组织间知识产权交易过程中的知识产权资产价值评估问题,进行流程化的研讨,并在一般性分析的基础上,针对专利、版权(著作权)、商标等主要知识产权类型的价值评估个性化问题,分别进行了透视。以组织间知识产权交易中的信息不对称作为切入点,对组织间知识产权交易的博弈、契约不完全性、壁垒等问题展开讨论。并设计计算机软件交易中盗版不盗版博弈模型对相关问题进行深入探讨。基于经济管理的范式,考察组织间知识产权交易的风险性,认为可以采取积极的措施在一定程度上对风险进行预防和治理,并给出初步的降低和规避风险的策略选择。从反观交易的视角出发,认为知识产权的创造活动从总体上看是连续的,也存在着生产与再生产活动。进而探讨组织间知识产权交易的市场结构、营销管理,以及交易的市场监管等问题。整体性思考部分。本文研究认为,知识产权虽为私权,但知识产权成为公共政策的对象并非是什么新话题或神秘的话题,因为自知识产权制度产生之日起(一般认为起源于15世纪的威尼斯),其本身即成为了公共政策的对象和有机组成部分。可以说,知识产权绝不是天生地作为知识产权而存在的,知识产权完全是公共政策自主或不自主设定的结果。同时从利益均衡、政策措施、自身回应等方面,对推动组织间知识产权经济合作与交易的对策进行了剖析。论文具有创新性的做法和研究成果主要有：首先,将知识产权看作经济管理资源的重要对象和要素,并“跳出组织”,从组织间知识产权经济合作与交易问题着眼,采用经济学、管理学、法学、哲学等多学科的范式与方法,展开集成研究；其次,虽然对组织间知识产权经济合作与交易问题分开论述,但始终把握二者具有相通性的内在逻辑,分析问题、现象背后的运作机理和客观规律,并找出相关问题的初步治理对策；最后,力求去除“知识产权神秘性”,从公共政策分析的范式出发,认为知识产权不仅是公共政策的被动设定,也应是公共政策的调整对象和主动选取,要通过国际、国内知识产权政策体系的发展和变革,以及微观组织的回应,去不断推进组织间知识产权经济合作与交易的发展。开展组织间知识产权经济合作与交易的模式及机理研究,有助于促进人们不断反思现有组织间知识产权经济合作与交易方式的合理性和有效性,认识到知识产权不仅仅是个人、个别组织必须高度关注的资源,不单单是组织间竞争和形成垄断的砝码,也应是组织间谋求和谐发展的纽带与桥梁。事实上,知识产权生产活动是总体的生产活动的有机组成部分,组织间知识产权经济合作与交易置身于知识产权生产活动,着力服务着、促进着知识产权再生产活动：创造、保护、管理和运用。进一步地从动态化和未来研究趋势的视角看,组织间知识产权经济合作与交易又是一个不间断的自然流程,其自身的作用机理和运行规律还有待于深入的研究。更多还原

【Abstract】 Intellectual Property (IP) is not only the natural result and positive creation of the society, economy and culture, but also is the unceasingly propelling catalysis and important support of them. By comprehensive understanding of present different concepts of IP, the dissertation considers that IP is the exclusive rights from the result of individual’s or organizations’mental activities, including the special marks originated from various businesses’dominated activities. it is also the object and factor of economy and management.From the view of economy and management, IP is one of the production factors juxtaposed with other properties. Furthermore, in the era of Knowledge Economy and Low-Carbon Economy, its status becomes more distinguished. Theoretically, the models of IP’s Creation, Protection, Management and Utilization are varied, but this dissertation recognizes that Inter-Organizations’Intellectual Property Economic Cooperation & Transaction (IOIPECT) are the fundamental steps of IP’s Creation, Protection, Management and Utilization. In addition, the inner micro-organizations’IP problems, such as inner enterprises’, inner universities’and inner institutions’, are normally paid closely attention, we should "jump out organizations", "brake through the borders", and implement special and deep research on the problems of Inter-Organizations’Intellectual Property. IP not becomes the object of IOIPECT, but forms the link of IOIPECT, and there is both theoretical and practical sense of the research on IOIPECT. Concerning the structure of this dissertation, it firstly discusses the problems of Inter-Organizations’IP Economic Cooperation and Inter-Organizations’IP Transaction separately, and in a certain degree, consider Inter-Organizations’IP Transaction is also a special kind of Inter-Organizations’IP Economic Cooperation, and then holds an integral thought of IOIPECT from the aspect of IP public policy analysis.In the part of Inter-Organizations’IP Economic Cooperation, the dissertation defines Inter-Organizations’IP Economic Cooperation as one or more organizations which participate(s) the cooperation based on IP factors and propel(s) Inter-Organizations’different resources’optimized allocation for all cooperated organizations’common economic development. Inter-Organizations’IP Economic Cooperation is a process with both coordination and competition. Furthermore, the racing and balanced cooperated organizations’development situation promotes sorts of models of Inter-Organizations’IP Economic Cooperation. First, the dissertation uses maps and other showing tools to describe the models of practical Inter-Organizations’IP Economic Cooperation carefully, including international, regional, patent pool, copyright alliance, trade mark franchise, crossing permission’s analyses. From the views of characters of IP and its macro-management systems, IP broadcasting and proliferation, self-organization theory, outer resources and organization communication, the dissertation tries to crack the motive power and mechanism of Inter-Organizations’IP Economic Cooperation. In the views of adverse selection, moral hazard, "hold-up", bargaining, fair and reciprocity, institution designing, the dissertation decomposes the problems and their origination of Inter-Organizations’IP Economic Cooperation. With the guidance of fundamental management theory, it also mines the managerial elements of Inter-Organizations’IP Economic Cooperation. Additionally, with the example of IP Dynamic Alliance gambling analysis, the dissertation studies the risk control in a certain side, and reveals that each cooperated organization could control risks well and reach equilibrium by bargaining and tacit agreement in the process of residual assets allocation. Lastly, the dissertation combines typical case discussion to propose several principles for maintaining Inter-Organizations’IP Economic Cooperation.In the part of Inter-Organizations’IP Transaction, the dissertation holds the point of view that Inter-Organizations’IP Transaction is the economic transaction of IP, and the goods and services with IP elements via money or currency. To begin with, the dissertation attempts to draw the fundamental models and patterns of Inter-Organizations’IP Transaction, and points out that price competition, supply-demand equilibrium, monopoly, gambling rules, value maximum are functional power behind Inter-Organizations’IP Transaction. Overall, the core aspect is to reach simplicity, process optimization, and IP value full excavation to the participators of Inter-Organizations’IP Transaction. It does research in IP assets value assessment through the whole procedure of transaction process, and separately discusses the patent, copyright, trademark’s assets value assessment based on general analyses. By inter-organizations’asymmetrical information analysis, this dissertation discusses Inter-Organizations’IP gambling, incomplete contract, and barrier, etc, designs computer copyright transaction’s pirate and non-pirate gambling models for deeper research at the same time. To investigate Inter-Organizations’IP Transaction risks by economic and managerial paradigms, the dissertation holds the view that the risks can be prevented and governed by positive measures, and promotes some initial tactics for avoiding the risks. To retrospect Inter-Organizations’IP Transaction, the dissertation considers that IP’s creation is a kind of continuous process, and it also has production and reproduction activities in the process. Furthermore, the dissertation probes into the problems in market structure, marketing, and market supervision of Inter-Organizations’IP Transaction.In the part of comprehensive thought, the dissertation deems that IP is private property on the one hand, but IP as the target of public policy is not a new or mysterious topic, for the reason that IP is still a target and an organic part of public policy since the very beginning of IP institution established (originated in Venice in 15th century by general recognition). It could be said the IP is not naturally as IP, and IP is the positive or non-automatic design by public policy. Then the dissertation presents some countermeasures for IOIPECT with the analyses on benefit equilibrium, policy steps, self-feedback, etc.The innovation in this dissertation is as follows. Firstly, the dissertation regards IP as the important object and element of economy and management. It "jumps out organizations" to implement economics, management science, law and philosophy’s paradigm and methods in issues of IOIPECT for integrated research. Secondly, though the Inter-Organizations’Intellectual Property Economic Cooperation and Transaction are narrated separately, the dissertation considers that they have the logical links each other, and tries to look for the rules, mechanism and countermeasures behind phenomena. Lastly, the dissertation strives to deal with and get rid of "IP mystery". With the paradigm of public policy, it considers that IP is not only a negative design of public policy, but should be the adjustment target and active choice of public policy. In order to promote the development of IOIPECT, the international, domestic IP policy systems’reform, and the micro-organizations feedbacks ought to be changed or administered.To do research on IOIPECT models and mechanism can help us continually retrospect the rationality and effectiveness of present patterns of IOIPECT, realize that IP is not only individual, unique organization’s resource, and inter-organizations’race or monopoly rider, but also is the link and bridge of inter-organizations’harmonious development. In fact, IP production activity is one of the organic elements of general production activity, and IOIPECT are placed into IP production so as to serve and keenly propel IP reproduction activity:Creation, Protection, Management and Utilization.In addition, from the view of dynamic development and future research’s trends, IOIPECT is a continuously natural process, its rules and mechanism should be researched further.更多还原