【作者】 付晔；

【导师】 龙志和；

【作者基本信息】 华南理工大学 ， 管理科学与工程， 2010， 博士

【摘要】 本文研究我国高校专利制度相关问题。较长时间以来,我国高校专利呈现出一种专利申请量很大、但专利的有效率和实施率很低的现象。高校专利产出的动力机制和影响因素是什么?为何我国高校的专利申请量如此之高,而专利的有效率及实施率却如此之低呢?本文从我国高校专利制度角度展开研究,具有一定理论价值及实际工作意义。本研究的工作分为两大步:第一步,理论研究和一般性模型构建。主要完成以下两项工作:进行相关专利研究文献梳理,综述已有研究进展及存在的缺陷;进而,展开专利价值、高校及其教师价值追求的理论分析,构建高校专利产出机制的一般性模型。第二步,模型验证及实证分析。对不同社会环境下的中美两国高校的专利产出机制进行理论分析验证;然后基于分析结论,采用中国高校的相关专利数据进行实证研究,并提出相应的对策建议。本研究的主要结论及创新之处有:(1)本研究构建了高校专利产出动力机制的一般性模型,综合考虑高校专利产出的内部动力要素(高校及其教师的价值追求)和外部动力要素(政府和企业对专利的价值诉求)以及历史文化传统和经济体制的影响。首先,本文将专利的价值分别界定为“工具性价值”(通过专利确权产生的价值)和“目的性价值”(通过专利市场化应用产生的价值),指出专利的“目的性价值”是专利的核心价值,是主体追求专利的根本目的。其次,从大学产生和存在的原因、大学的三大功能角度,提出大学的核心价值追求在于知识的创造和传播,衍生价值追求是社会服务;从学术共同体成员的角度,提出大学教师的核心价值追求在于学术地位和影响,衍生价值追求是获取财富。再次,指出高校及其教师的价值追求构成了高校专利产出的内部动力要素,只有当专利符合高校及其教师的价值追求时,才会有专利产出的冲动,所以在整个动力机制的运作过程中,高校及其教师的内在驱动力起着核心和枢纽作用;外部动力要素主要通过引导、唤起、驱动内部动力要素等方式转化为高校及其教师的内在驱动力,实现其动力效能;同时,历史文化传统和经济体制会直接影响社会各个主体的价值取向,对高校的专利产出具有渗透性影响。理论上,高校的专利活动不是其主要的实践活动,高校的专利数应当较少;高校进行专利活动的最终目的应当是通过专利的实施应用以获取超额经济收益。(2)本研究对比分析了不同社会环境下高校专利产出机制。研究发现,在美国的专利政策与环境下,高校的专利产出符合一般性模型:由于高校及其教师的核心价值追求的影响,美国高校的专利数量相对较少;同时美国高校及其教师进行专利活动的唯一目的是为了获取专利的“目的性价值”,专利的市场收益较高。在中国现行的专利政策和环境的综合影响下,高校的专利产出偏离了一般性模型:专利的“工具性价值”被过度放大,中国高校及其教师进行专利活动的目的更多是为了获取专利的“工具性价值”,所以中国高校的专利数量必然很多但其中存在很多“泡沫”,而且专利市场收益很小。(3)本研究对中国高校专利产出进行实证分析,重点研究专利的质量(有效率和实施率)。从静态有效率、五年有效率和动态有效率的角度分析,中国高校专利的有效率和维持年限均较低;通过中美两国高校的专利实施应用情况对比,发现我国高校专利的实施率较低,专利实施收益也较低。更多还原

【Abstract】 The study discusses the relevant issues of patent system of universities in China. For long, patent of universities in China shows a kind of phenomenon: large amount of patent applications, but low efficiency and implementation rate. What are the dynamic mechanism and influencing factors to the patent output of universities? Why are patent applications of universities in China so high, but low in efficiency and implementation rate? From the perspective of patent system of universities in China, the study has theoretical value and practical meaning.The research work is divided into two steps:First, the theoretical study and general model building. Two main tasks will be completed: sort out the relevant patent literatures, summarize the achievements and existing defects; theoretical analysis on patent value, the value pursuit of universities and teachers, and construct a general model of patent output mechanism of universities.Secondly, model verification and empirical analysis. Model verification on patent output mechanisms of universities between China and America under different social environments; and empirical analysis on relevant patent data of universities in China based on the conclusions of the above, with proposed countermeasures.The main conclusions of this study and innovations are:(1)A general model of patent output dynamic mechanism of universities is constructed, considering the internal dynamics elements of patent output of universities(the value pursuit of universities and their teachers) and external dynamic factors of universities(value demands of patent from government and business), and the effect of historical and cultural traditions and economic regimes. First, the value of the patent is defined as "instrumental value" (produced by the patent right) and " objective value" (produced by the patent marketing application) creatively, that the patent’s "objective value" is the core value of the patent and the basic purpose of patent pursuit is pointed out; and then, from the reasons of emergence and existence of universities and the three main functions of universities, it’s proposed that the core value pursuit of universities is creation and dissemination of knowledge with social service as the derived value pursuit; from the perspective of members of academic community, it’s proposed that the core value pursuit of university teachers is the influence of academic status with the pursuit of wealth as the derived value. Second, it points out that the value pursuit of universities and teachers constitute the internal dynamic elements of the patent output of universities, the urge of patent output only happens when the patent is consistent with the value pursuit of universities and teachers. Therefore, through the whole dynamic mechanism, the internal driving force of universities and teachers plays a central and pivotal role; the external dynamic factors change into the internal driving force of universities and teachers primarily through the means of guiding, arousing and driving the internal dynamic factors to achieve its dynamic efficiency; at the same time, historical and cultural traditions and economic system will directly affect the value orientation of each subject in communities and pervasively influence the patent output of universities. Theoretically, patent activities in universities is not the main practice, so patent number should be less in universities, but the ultimate goal of patent activities in universities should obtain the excess economic gains through the implementation of the patent.(2) Comparative analysis on the patent output mechanism of universities under the different social environments. Study found that the U.S. patent output meet the general model under the U.S. patent policy and environment: because of the influence of core value pursuit of universities and teachers, the patent number of universities in United States is relatively small; the sole purpose of patent activities in United States is to obtain the patent’s "objective value", the market gains of the patent is higher. However, under the combined effects of the patent policy and environment in China, the patent output of universities in China deviates from the general model: the patent’s "instrumental value" was over-amplified, the purpose of patent activities in China is to get the patent’s "instrumental value", so the patent number in China is large but there exists many "bubble" and patent’s market gains are small.(3) Empirically analyzing the patent output of universities in China, focusing on the patent quality (rate of efficiency and implementation), from the perspective of static efficiency, the five-year efficiency and dynamic efficiency, it’s found that the efficiency rate and maintain life of university patent in China is lower; compared to the patent of universities in America, the rate of patent implementation in China is lower and so is gains of the patent implement.更多还原