-I- 中文摘要 经济时代，知识产权等无形资产的重要性愈加显现，以技术和专利作为主要 支撑的高新技术企业日益受到世界各国的重视。科学评价黑龙江省高新技术企业 专利能力对于充分释放高新技术企业的能量，从而加速黑龙江经济持续发展具有 重要价值和意义。本文通过对国内外知识产权能力和专利能力相关研究进行收集 和整理，基于企业能力理论、专利能力理论，梳理并分析了黑龙江省高新技术企 业概念及其特征，根据已有研究梳理总结出专利创造能力、运营能力及保护能力 三个维度的评价指标，并构建相应的评价体系；运用主成分分析方法对黑龙江省 高新技术企业专利能力进行横向的评价与纵向的评价，其中横向评价是对全国31 个省市自治区2018年专利能力的比较，纵向评价是针对黑龙江省高新技术企业近 十年的专利能力进行分析评价。在阐明黑龙江省高新技术企业专利能力存在的问 题的同时，分别对专利创造、运营及保护能力提出有针对性的对策建议。 关键词：高新技术企业；专利能力；评价指标体系； 黑龙江大学硕士学位论文 -II- Abstract In the economic era, the importance of intangible assets such as intellectual property rights has become more and more important, and high-tech enterprises with technology and patents as the main support are increasingly being valued by countries around the world. Scientific evaluation of the patent capabilities of Heilongjiang high-tech enterprises is of great value and significance for fully releasing the energy of high-tech enterprises and accelerating the sustained development of Heilongjiang’s economy. This paper collects and organizes domestic and foreign intellectual property capabilities and patent capabilities related research. Based on the theory of enterprise capabilities and intellectual property capabilities, this paper combs and analyzes the concept and characteristics of high-tech enterprises in Heilongjiang Province, and summarizes the patents based on existing research. The evaluation indicators of the three dimensions of creativity, operation and protection capabilities are established, and the corresponding evaluation system is constructed; the principal component analysis method is used to conduct horizontal and vertical evaluations of the patent capabilities of high-tech enterprises in Heilongjiang Province. The horizontal evaluation is based on the national A comparison of the patent capabilities of 31 provinces, municipalities and autonomous regions in 2018, the longitudinal evaluation is an analysis and evaluation of the patent capabilities of high-tech enterprises in Heilongjiang Province in the past ten years. While clarifying the problems existing in the patent capabilities of high-tech enterprises in Heilongjiang Province, they put forward targeted countermeasures and suggestions on patent creation, operation and protection capabilities. Keywords：High-tech enterprises; Patent ability; Evaluation system; 目录 -III- 目录 中文摘要 ........................................................................................................................... I Abstract ............................................................................................................................. II 绪论 .................................................................................................................................. 1 一、研究的背景、目的与意义 ............................................................................... 1 （一）研究背景 ................................................................................................ 1 （二）研究目的 ................................................................................................ 2 （三）研究意义 ................................................................................................ 2 二、国内外研究现状 ............................................................................................... 3 （一）国外研究现状 ........................................................................................ 3 （二）国内研究现状 ........................................................................................ 5 （三）国内外研究现状评述 ........................................................................... 11 三、研究内容及方法 .............................................................................................. 11 （一）研究内容 ............................................................................................... 11 （二）研究方法 .............................................................................................. 12 四、研究的创新点 ................................................................................................. 13 第一章 理论基础 .......................................................................................................... 15 第一节 相关概念 ................................................................................................... 15 一、高新技术企业 .......................................................................................... 15 二、专利能力 .................................................................................................. 17 三、知识产权能力 .......................................................................................... 20 第二节 相关理论 ................................................................................................... 20 一、企业能力理论 .......................................................................................... 20 二、专利能力理论 .......................................................................................... 22 三、专利能力评价理论 .................................................................................. 24 本章小结 ................................................................................................................. 26 黑龙江大学硕士学位论文 -IV- 第二章 黑龙江省高新技术企业专利能力评价体系设计 .......................................... 27 第一节 评价体系设计的思路与原则 ................................................................... 27 一、设计思路 .................................................................................................. 27 二、设计原则 .................................................................................................. 28 第二节 评价指标体系设计 ................................................................................... 29 一、指标的选择 .............................................................................................. 29 二、指标解释 .................................................................................................. 30 三、指标权重的确定 ...................................................................................... 34 第三节 评价方法与步骤 ....................................................................................... 34 一、方法的选择 .............................................................................................. 34 二、评价步骤 .................................................................................................. 36 本章小结 ................................................................................................................. 37 第三章 黑龙江省高新技术企业专利能力评价体系应用 .......................................... 38 第一节 数据收集 ................................................................................................... 38 第二节 黑龙江省高新技术企业专利能力横向评价 ........................................... 38 一、专利创造能力横向评价 .......................................................................... 38 二、专利运营能力横向评价 .......................................................................... 43 三、专利保护能力横向评价 .......................................................................... 44 四、专利能力横向综合评价 .......................................................................... 46 第三节 黑龙江省高新技术企业专利能力纵向评价 ........................................... 48 一、专利创造能力纵向评价 .......................................................................... 49 二、专利运营能力纵向评价 .....................