近年来,随着我国自主创新战略的实施,各级政府部门实施了大量的旨在促进自

主创新和经济发展的专利政策,但相关的理论研究滞后,实践中存在诸多问题,政

策功能未能得到有效发挥。为此,本文以专利政策的功能与结构效应为研究对象,

从理论和实证的角度研究了以下几个方面的内容。

首先,本文从产业科技创新的角度,对专利政策功能的基础理论问题进行了研究。

研究认为专利政策功能存在产业差异性,不同产业对专利政策的需求强度不同,且

不同产业内部存在着创新竞争者与产业发展对专利政策需求相互矛盾的问题,解决

矛盾时应将私权保护本位论与公共利益本位论相结合的二元价值观作为我国专利政

策功能定位的基本价值取向。将该理论运用到实践,提出我国应统一不同专利政策

中的产业分类标准、明确专利政策功能的整体价值取向、提高各环节政策间的整体

协调性。

其次,本文通过实证分析我国专利政策的总体特征,受专利政策影响下的专利市

场化行为的总体特征,并由此对我国专利政策的功能定位模式进行评价,指出我国

重视运用政策手段对专利市场化行为的推动作用,但主要集中在影响市场主体的专

利申请行为,影响专利维持及专利利用行为的政策较少,形成了政府主导下的有限

市场驱动模式。为此,本文提出我国应弱化专利政策对专利市场化的干预,强化市

场竞争与需求在专利市场化中的驱动与引导作用,但同时强化专利政策改善专利市

场化环境的功能。

再次,本文从经济学理论的角度,对专利政策结构化的理论基础进行了研究。研

究认为,专利申请的正外部性效应、专利传播的公共物品属性、专利利用的信息不

对称性是不同类型专利政策产生的理论基础,由此形成了具有结构化的专利政策体

系。为此,本文提出不同类型专利政策的比重会影响专利政策总体功效的发挥,即

专利政策存在最优结构问题。

最后,本文通过实证分析我国专利政策的结构化效应,发现我国专利政策虽然从

整体上具有促进科技创新的正向促进效应,但存在结构效应。因此,结合我国专利

政策的实践,本文提出应弱化促进专利申请类政策,强化促进专利传播类和促进专

利利用政策,将政策重心转移到提供高质量的基础性数据库及公共服务平台,培育

建立以市场为导向的专利信息长效传播机制与专利交易机制,加大公共资源向促进

专利利用类政策的配置比例。

关键词:科技创新 专利政策 结构效应 专利申请 专利传播

专利利用

Abstract

With the implementation of self-renovation strategy, China has implemented many

kinds of patent policies aiming at promoting self-renovation capacity and economic

development in various levels of the government in recent years. Because theoretical

research correlated with this is much more delayed and many practical problems exist,the

function of the policies is far less efficient. Therefore, taking the function of the patent

policies and structural effects as research projects, this paper has undertook research on

some parts as follows theoretically and empirically:

Firstly, from the view of the industrial innovation of science and technology, this

paper takes study on primary theoretical issues of patent policy functions. It holds that

there are industrial varieties among patent policy functions. Thus, the various industries

have different strength needs to patent policies. What is more,there are some problems

such as innovational competitors and contradictions between industrial development and

patent policy needs existing inner various industries. In order to solve these problems,this

paper takes binary values integrating the ontologies of private right protection and pubic

right as basic values for defining China's patent policy function. When putting this theory

into practice, this paper has made deep study on the issue of the patent policies, rising to

unite Classification standard in different patent policies of the industries, defining value

orientation of its functions and improve compatibility of different procedures among

different policies as whole.

Secondly, this paper discusses general features of China's patent policies and patent

market behavior under patent policy effect by empirical method. On the base of these, it

estimates the function position model of China's patent polices, showing pushing effect on

patent marketization by government policy measurements. However, the pushing effect

mainly focuses on affecting patent application with market orientation. Compared with

that, the pushing effect towards patent sustention and patent usages are less obvious. Due

to these reasons, the limited motivation model of the market under government

domination is developed. Thus, this paper suggests that China government shall weak the

interference towards patent marketization by patent polices and reinforce motivation and

guide of market competition and needs in patent marketization. At the same time, this

paper intensifies the function of patent policy to change the environment of the patent

marketization.

Thirdly, this paper takes study on structured theoretical base of the patent policy. It

holds that the positive external effect of patent application, the public attributes of patent

spread and information dissymmetry of patent usages constitute the theoretical base

resulting in various patent policies. Therefore, this paper points out that the proportion of

various patent policies shall affect general effects of patent policies. Namely, there exists

optimum structure in patent policies.

Finally, by analyzing structural effects of patent polices empirically in China, this

paper finds that there exist structural effect,although the patent policies have positive

promoting effect toward science and technology as a whole. Therefore, this paper

proposes to improve patent policy functions for meeting the need in practice, such as to

weak patent application, foster patent spread and usage as well. Furthermore, it shall

transfer the focus of the patent policies to provide high quality basic database and public

service platform, to develop effective spread mechanism of patent information and the

mechanism of patent transaction with market orientation, to raise allocation proportion of

public resources towards the policies promoting patent usages.

Key words: Technology innovation Patent policy Structural effect

Patent application Patent transmission Patent transaction

目录

m ^ I

Abstract Ill

1绪论

1.1研究目的与意义
(1)

1.2国内外研究现状
(2)

1.3 研究方法
(15)

1.4论文创新点
(18)

1.5基本框架
(20)

2基于产业科技创新的专利政策功能分析

2.1产业竞争与专利政策的差异化需求
(23)

2.2基于产业差异化的专利政策功能的价值取向
(28)

2.3我国专利政策功能的产业实践
(31)

2.4本章小结
(34)

3我国专利政策的功能定位及其政策选择

3.1专利的市场化行为与政策实践
(38)

3.2我国专利政策的实证分析
(45)

3.3我国专利市场化行为的实证分析
(48)

3.4功能定位与政策选择
(56)

3.5本章小结
(59)

4专利政策结构化的经济学理论分析

4.1 专利申请的外部性
(61)

4.2专利传播的公共产品属性
(67)

4.3专利利用的不对称性
(72)

4.4本章小结
(77)

5我国专利政策的结构化效应实证分析

5.1 理论框架
(81)

5.2研究假设
(85)

5.3数据与实证分析
(88)

5.4政策含义与建议
(95)

5.5本章小结
(98)

6结论与展望

6.1 结论 (100)

6.2 展望 (103)

SC _ (105)

参考文献 (106)

附录1攻读博士学位期间发表的学术论文
(118)

附录2攻读博士学位期间参与的科研项目
(119)

VI

1绪论

1.1研究目的与意义

当前,我国正在努力创建创新型国家,增强自主创新能力已经成为调整产业结

构、转变经济增长方式、实现可持续发展的中心环节。专利既是体现自主创新能力

的重要指标,又是企业提升市场竞争能力的重要手段,包括专利战略在内的知识产

权战略已经成为国家战略。在建设创新型国家这一目标的指引下,在实施国家知识

产权战略的带动下,中央政府及其工作部门、地方政府出台了一系列促进和改善专

利制度运行的政策,产生了积极的效果,专利意识普遍增强、专利申请和授权的数

量较快增长、专利质量得到一定的改善、专利信息传播平台初步形成、专利运用体

系逐步建立、专利交易呈现活跃趋势。但由于我国专利制度实施时间短,而我国经

济、科技和社会发展变化快,专利政策运行环境复杂,导致现行专利政策及其运行

体系存在明显不足:一是专利政策目标趋于多元化的情形下,政策目标不一致,表

现为显性目标之间不一致、显性目标与隐性目标不一致;二是政策与政策之间不一

致、不协调,各政策的功能之间存在冲突;三是落实同一政策目标的具体