伴随着经济与技术全球化进程的加快，技术标准形成对于企业发展、巩固行业竞争 优势的作用日益凸显，因此成为企业贯彻创新驱动发展战略的重要目标之一。在此背景 下，技术标准联盟应运而生，并已逐渐成为各行业技术标准形成的重要驱动力量。本文 基于社会网络分析的理论与视角，围绕“联盟合作关系对技术标准形成的影响”这一问 题展开探讨，旨在明确技术标准联盟内部的合作关系对技术标准形成的作用机理。本研 究对于我国相关企业及事业单位推动技术标准形成、增强行业竞争优势具有重要的理论 价值和现实意义。 首先，本文在总结和梳理国内外相关研究现状的基础上，界定了技术标准形成、技 术标准联盟合作关系的概念，介绍了社会网络分析框架，进而探讨了社会网络视角下技 术标准联盟合作关系的内涵。 其次，本文以相关概念的界定和理论介绍为基础，将技术标准联盟合作关系划分为 合作广度和合作深度两个维度；并且以技术标准联盟合作关系对科研工作绩效的促进作 用为基础，论述了技术标准联盟合作关系对技术标准形成的影响，进而提出了相关的研 究假设。 再次，本文选取闪联产业联盟为实证研究对象，立足于社会网络分析视角，利用音 频互连技术标准的联合申请专利数据构建了专利合作网络模型；并且采用回归分析方法， 利用专利数据与网络拓扑指标数据验证了技术标准联盟合作关系影响技术标准形成的 研究假设。 然后，本文根据闪联产业联盟在音频互连技术领域在2003-2017年期间联合申请专 利数量的演化情况将音频互连技术标准形成过程划分为三个阶段，利用专利合作网络中 节点的拓扑特征指标探讨了联盟合作关系的阶段性演化情况，分析了技术标准联盟合作 关系在不同的演化阶段对技术标准形成的影响，并论述了不同类别的合作关系对技术标 准形成的影响。 最后，本文基于理论分析、回归分析与演化分析的结果，分别从拓宽技术标准联盟 合作广度、增强技术标准联盟合作深度两方面入手，提出了基于技术标准联盟合作关系 推动技术标准形成的相关建议。 关键词：技术标准形成；技术标准联盟；合作关系；社会网络分析 社会网络视角下联盟合作关系对技术标准形成的影响研究 VII ABSTRACT Along with the acceleration of the economic and technological globalization, the formation of technical standards has played an increasingly prominent role in the development and consolidation of industrial competitive advantages for enterprises. Therefore, it has become one of the increasingly important goals for enterprises to implement innovation-driven development strategy. In this context, technical standard alliances have come into being and gradually become an important driving force for the formation of technical standards in various industries. On the basis of the theory and perspective of social network analysis, this paper discussed the issue of "the impact of the cooperative relationship in the alliance on the formation of technical standards" in order to clarify the mechanism of the cooperation within the alliance on the formation of technical standards. This paper has important theoretical and practical significance for enterprises and institutions to promote the formation of the formation of technical standards and enhance the competitive advantage of the industry. Firstly, the definition of the formation of technical standards and the cooperative relationship within the technical standard alliance was determined in the paper, on the basis of summarizing and combing the domestic and foreign related research status. The framework of social network analysis was also introduced. And then, the connotation of the cooperative relationship within the technical standard alliance was discussed from the perspective of social network. Secondly, on the basis of the definition of related concepts and the introduction of theories, the dimentions of the cooperative relationship within the technical standard alliance was divided from the perspective of breadth and depth. On the basis of promoting effect of the cooperative relationship within the technical standard alliance on the performance of scientific research, the impact mechanism of the cooperative relationship within the technical standard alliance on the formation of technical standards was discussed, and then the relative research hypotheses were established. Thirdly, the industry alliance of IGRS was chosen as the empirical research object. And the model of patent cooperation network was constructed by using the data of patent applicants of the technical standard of Audio Interconnection on the perspective of social network analysis. With the method of regression analysis, the research hypotheses of the impact of the cooperative 哈尔滨工程大学硕士学位论文 VIII relationship within the technical standard alliance on the formation of technical standards were verified with the patent data and topology data of the network. Fourthly, the formatting process of the the technical field of Audio Interconnection was divided into three periods, through the evolution of the patent of Audio Interconnection from 2003 to 2017. The stage evolution of the cooperative relationship within the technical standard alliance was discussed with the topological characteristic index of the nodes in the patent cooperation network. The impact of cooperative relationship between different nodes on the formation of technical standards was analyzed. The impact of the cooperative relationship within the technical standard alliance on the formation of technical standards in different evolution stages was analyzed. And then, the impact of different types of cooperative relationship on the formation of technical standards was discussed in this paper. Eventually, the suggestions were put forward for enterprises and institutions to promote the formation of technical standards based on the cooperative relationship within the technical standard alliance, starting with broading the cooperative breadth and enhancing the cooperative depth within the technical standard alliance, based on the result of theoretical analysis, regression analysis and evoluting analysis. Keywords: The Formation of Technical Standards; Technical Standard Alliance; Cooperative Relationship; Social Network Analysis 社会网络视角下联盟合作关系对技术标准形成的影响研究 IX 目 录 第1章 绪论 ··· 1 1.1 论文的研究背景、目的和意义 ············ 1 1.1.1 论文的研究背景 ···· 1 1.1.2 论文的研究目的与意义 ············· 2 1.2 国内外研究现状 ············ 2 1.2.1 国外研究现状 ······· 2 1.2.2 国内研究现状 ······· 7 1.2.3 国内外研究现状评述 ··············· 12 1.3 论文的研究内容与研究方法 ·············· 12 1.3.1 论文的总体思路与主要内容 ······ 12 1.3.2 论文的研究框架 ··· 13 1.3.3 论文的研究方法 ··· 15 1.4 论文的创新之处 ··········· 15 第2章 相关理论基础········· 17 2.1 技术标准形成的相关界定 ················· 17 2.1.1 技术标准的相关界定 ··············· 17 2.1.2 技术标准形成的内涵与特征 ······ 17 2.1.3 技术标准形成与专利的关系 ······ 18 2.2 技术标准联盟的内涵与特征 ·············· 19 2.2.1 技术标准联盟的内涵 ··············· 19 2.2.2 技术标准联盟的特征 ··············· 19 2.3 技术标准联盟合作关系的内涵与特征 ·· 20 2.3.1 技术标准联盟合作关系的内涵 ··· 20 2.3.2 技术标准联盟合作关系的特征 ··· 21 2.4 社会网络分析的相关界定 ················· 21 2.4.1 社会网络的内涵 ··· 21 2.4.2 社会网络分析框架 22 2.5 社会网络视角下的技术标准联盟合作关系 ·············· 23 2.6 本章小结 ·· 24 哈尔滨工程大学硕士学位论文 X 第3章 技术标准联盟合作关系影响技术标准形成的理论分析 ············ 25 3.1 技术标准联盟合作关系的维度划分 ····· 25 3.1.1 技术标准联盟合作关系的维度划分依据 ········· 25 3.1.2 技术标准联盟合作关系的维度分析 ··············· 25 3.2 技术标准联盟合作关系的作用分析 ····· 26 3.2.1 技术标准联盟合作广度的作用分析 ··············· 26 3.2.2 技术标准联盟合作深度的作用分析 ··············· 26 3.3 技术标准联盟合作关系与技术标准形成间关系的假设论述 ··········· 27 3.3.1 技术标准联盟合作广度与技术标准形成的关系假设 ············ 27 3.3.2 技术标准联盟合作深度与技术标准形成的关系假设 ············ 28 3.4 本章小结 ·· 29 第4章 技术标