【作者】 杨中楷；

【导师】 刘则渊；

【作者基本信息】 大连理工大学 ， 科学学与科技管理， 2007， 博士

【摘要】 在我国，专利制度的真正建立至今已超过20年。在20多年的发展过程中，我国专利事业茁壮成长，专利制度已经成为我国建设创新型国家的有力保障。不过，随着专利在国家竞争中地位的提升，发达国家越来越倾向于利用专利来对发展中国家进行新一轮的跑马圈地。由于我国专利制度建立时间较短，许多企业尚未意识到专利制度的基本功能和延伸功能，因此往往缺乏对专利制度的有效运用，也往往在专利竞争中处于下风。基于此，本文在专利计量学理论和方法的辅助下，对专利制度的功能进行定量分析和探讨，以期获得对专利制度功能的新认识，并在此基础上提出相应的对策建议。专利制度的基本功能可以归纳为权利保护和信息公开，进一步可以延伸为创新激励、竞争力提升、知识共享与扩散以及专利文献的情报化。而这正与专利计量理论和方法中的研发生产力分析、引用分析、关联性分析等分析方法具备某种程度上的契合之处。可以说，专利计量的理论和方法为专利制度基本功能和延伸功能的分析奠定了基础。论文利用相关指标对专利保护水平进行定量评价，揭示出专利保护水平与专利产出之间的互动关系，进而将专利保护水平引入到专利持有决策过程，又寻找到其他两个影响专利产出和持有的变量——审查效率和获利水平，并针对上述三个影响因素提出了对策建议。论文利用专利文献的基本条目，对专利合作、专利引用过程中的知识的共享和扩散进行了定量分析和可视化展示。可以看出，专利合作发明过程中存在着大量的知识共享与交流，专利引用过程也能促进企业乃至国家间的知识交流与扩散以及专利技术从基础研究中的知识汲取。论文利用专利文献所提供的情报指标，构建了相应的指标体系。利用指标体系的评价结果，企业和国家可以对竞争环境进行判断并据此选定自身的战略决策方向。从我国所处的竞争环境来看，加强自主创新、形成自主知识产权、制定国家知识产权和专利战略能够有效提升我国的国际竞争力。更多还原

【Abstract】 The patent system has been established more than 20 years in our country. During thisperiod, China patent system developed quickly and provided safeguard to the process ofconstructing innovative country. With the advance in international competition, patent drawsattention from the developed countries and becomes the competing tools getting competitivepower of these countries.There are many firms in our country don’t realize the basic and extend functions ofpatent system, then can’t apply patent system effectively and will be at a disadvantage incompetition. In view of the present situation, this article tries to get new cognition of patentsystem’s functions with quantitative analysis and puts out corresponding suggestion andstrategy.The basic functions of patent system can be concluded in two ways: property protectionand information disclosure. Furthermore, the basic functions can be expand in four directions:motivating innovation, promoting competitive power, sharing and spreading knowledge,regarding patent document as intelligence. The methods and tools provided by patetometricscan meet the demand of analysis on patent system functions and make firm foundation onpatent system research.Through evaluating the patent protection level by related index, this article discloses theinteraction between patent protection and patent output. Then leads the protection index intoprocess of holding patent decision and put out another two factors affect the patent output andhold.Using the basic items in patent document, this article makes quantitative analysis onknowledge sharing and expanding. The analysis shows there are a lot of knowledge beingshared and exchanged in the process of patent activity. The process of patent citation canimprove knowledge sharing and expanding among firms and countries, also can improvepatent to draw knowledge from basic research.By constructing evaluating index based on patent document, this article providesmethods and tools for firms and countries to judge competition environment and makestrategic policy. From the environment around our country, this article concludes thatimproving self-innovation, forming self-dominated intellectual property right, making statestrategy would promote our country’s international competitive power.更多还原