【作者】 陈家宏；

【导师】 胡培；

【作者基本信息】 西南交通大学 ， 管理科学与工程， 2009， 博士

【摘要】 随着科学技术作用的彰显,企业专利管理的评价和优化受到了人们的普遍关注,对专利制度变迁与发展的研究也受到了足够的重视。但是,人们对企业专利管理优化的依据及其与专利制度的关系却研究得不多。本研究即是基于企业优化专利管理的依据所开展、设计的专利制度企业内化理论与实证研究,具有重要的理论价值和实际意义。本研究通过查阅文献资料,对专利制度、专利管理相关的文献进行分析、筛选与研究,提出、构建了专利制度企业内化的“对象-结构-目标”的研究框架：进而分解研究框架,逐一分析、研究与理论论证专利制度对象、专利管理结构与企业内化机理。本研究在理论研究的基础上构建实证模型,组织企业管理人员,经济学、管理学、知识产权法学等有关专家进行访谈,以及设计、完善调查问卷,进行预调查,进行了正式问卷的调查。最后,通过数据分析,验证了所提出的研究假设。本研究对专利制度的产权结构进行了分析,提出了专利产权是由专利归属权、行为权与维护权组成的专利产权理论,得出专利制度是专利产权制度的结论,为专利制度企业内化的对象——专利制度二阶因子构成提供了理论基础；通过对企业专利管理结构进行案例分析与理论研究,为专利制度内化的结构——专利管理二阶因子构成分析提供了理论依据；本研究还对专利制度企业内化的条件、动力及过程进行了分析,认为专利制度内化的动力是专利产权明晰、行使与维护的制度保障,其过程是专利产权的运行和专利管理优化,其结果是提升专利绩效,并概括出了企业专利管理的特征,提出并论证了“专利制度-专利管理-专利绩效”的理论框架。本研究采用结构方程模型的方法,通过实证分析,主要验证了以下观点：(1)验证了具有一定普适性的专利制度企业内化的概念模型——专利制度由专利归属权、行为权与维护权的二阶因子构成,专利管理由管理理念、管理组织和管理措施的二阶因子构成；通过因子分析得出了一个包含专利归属权、行为权、维护权,专利管理理念、措施、组织,以及专利数量和效益等8个因子的具有较高效度和信度的专利制度企业内化,即“专利制度-专利管理-专利绩效”概念模型。(2)验证通过了“专利制度-专利管理-专利绩效”-专利制度企业内化实证模型。并验证了以下观点：专利制度对专利管理有直接、决定性影响；专利管理对专利绩效有着直接、重大的影响；专利制度企业内化率对专利绩效有正向影响。(3)本研究探索性验证了专利管理对专利制度有直接、重大、正向的影响,促进专利制度的不断修正与完善。专利制度企业内化从制度变迁的角度说是双向的,也验证了制度变迁的多向性观点。专利管理对专利制度在专利归属权、行为权、维护权方面有重要影响。同时,本研究将定量的方法引入了专利制度与专利管理关系、专利管理与绩效的关系的研究之中,具有重要的方法论意义。更多还原

【Abstract】 With the increasing application of science and technology into various fields, concerns have been widely given to evaluation and optimization of patent management in enterprises, and researches in the transition and development of patent system have been booming, there is not enough study on reasons for optimizing patent management in enterprises and relationship between patent internalization and optimization. Based on optimization of patent management in enterprises, this dissertation researches, both theoretically and empirically, the internalization of patent system inside enterprises. It should have some theoretical and practical significance.Based on filtering and analyzing the relevant documents on patent system and patent management, this dissertation advances a research framework of internalization of patent system in enterprises for "Object-Structure-Aim", and further analyzes and researches the object of patent system, the structure of patent management and the mechanism of internalization of patent in enterprises. On the basis of theory, it constructs empirical models. The author interviews entrepreneurs and experts in management science,economics and intellectual property law, and makes preparatory and formal surveys based on gradually rectified questionnaires, and finally verifies the hypothesis by analyzing the data.By analyzing the structure of patent property, this research argues that patent property is composed of the rights of ownership, act and maintenance, and draws a conclusion that patent system is the system of patent property, which lays a theoretic foundation for analyzing the composition of the second-order factors of patent system-the object of internalizing patent system in enterprises. And an empirical analysis on and a theoretical research in the structure of patent management lays a theoretic foundation for analyzing the composition of the second-order factors of patent management. It also discusses the conditions, dynamics and processes of the internalization, and argues that its dynamics is the institutional guarantee of the definition, act and maintenance of patent property, the process of which is the operation of property and the optimization of management and the result of which is the improvement of the performance of patent. It further epitomizes the characteristics of patent management in enterprises, proposes and expounds the theory of "patent system-patent management-patent effect".A structural equation model is used to verify:(1) the conceptual mode of internalizing patent system in enterprises could be widely applied to some degree. Rights of patent ownership, act and maintenance are incorporated into second-order factor structure of patent system, and the mission organization and measures of management make up the second-order factor structure of patent management. An efficient and credible way of patent intemalization in enterprises is related to the following 8 factors:rights of patent ownership, act and maintenance, mission, measures, and organization of patent management, quantity and benefit of patent. By analyzing these factors, the dissertation establishes a conceptual model of "patent system-patent management-patent performance". (2) the empirical model of intemalization of patent system in enterprises——"patent system-patent management-patent performance". Patent system produces direct, positive and decisive influences on patent management, patent management does the same on patent performance, and the intemalization rate of patent system in enterprises produces positive influence on patent performance too. (3) This original research verify patent management’s influences on patent system, which can gear up the rectification and improvement of patent system. From the angle of institutional changes, the intemalization is bidirectional, and institutional changes are verified to be multidirectional as well. In a simple word, patent management produces important effects on rights of patent ownership, act and maintenance.In methodology, the dissertation is of importance in introducing quantitative analyses into researching in the relationship of patent system with patent management and in that of patent management with its performance.更多还原