【作者】 李燕燕；

【导师】 宋伟；

【作者基本信息】 中国科学技术大学 ， 公共管理， 2020， 博士

【副题名】基于供给与采纳的双维分析

【摘要】 改革开放40年以来,我国中小企业和民营经济得到了快速发展,已成为国家经济发展和创业就业不可或缺的重要力量。随着我国经济持续增长,人口红利不断减少,高技术引进壁垒增高,中小企业原有的成本发展优势逐渐减弱,亟需通过创新驱动实现高质量发展转型。知识产权不仅是创新成果的集中载体,更是点燃、激励创新的核心要素,对中小企业高质量发展具有引领作用。作为知识产权创造、运用、保护、管理、服务“全链条”的基础保障,知识产权公共服务为创新提供重要支撑。尤其是对于基础薄弱、资源有限的中小企业来说,知识产权公共服务体现了显著的现实意义。首先,知识产权公共服务供给的核心主体是政府,拥有丰富的信息和数据,以及强大的资源整合、财政资金等支撑,具备面向中小企业供给优质、低价知识产权基础服务的条件。再者,知识产权公共服务还可以发挥自身优势,对知识产权服务中的“市场失灵”进行有效补充,转变政府职能的同时,激活社会资源,实现对中小企业知识产权公共服务的全面化、精细化、现代化发展。而事实上,尽管我国知识产权公共服务可以面向中小企业提供信息检索与分析、金融、维权援助等服务内容,但从范围、层次上看都还十分有限,服务体系结构不尽合理。另外,区别于大型企业、科研机构等创新主体,中小企业具备自身独特的发展规律、经营特点及创新需求。然而,目前我国知识产权公共服务中,无论是理论研究、政策制定,还是服务实践,都缺乏对各类中小企业知识产权服务问题的系统分析与“个性化”探索。因此,加强面向中小企业的知识产权公共服务研究,推进我国中小企业实现创新转型是摆在理论界面前的现实课题。本文将公共服务置于知识产权的场景且聚焦于中小企业,从供求双维度展开探讨。在对中小企业知识产权建设困境与公共服务供给现状分析的基础上,运用实证研究将中小企业创新采纳、决策与知识产权服务特性系统考量,阐释中小企业的风险顾虑及其对知识产权公共服务采纳的掣肘等论证,为优化公共服务项目的设计开发与组织实施、为相关政策制定提供指导和参考。本文内容包含以下七个章节:第一章,绪论。根据中小企业知识产权公共服务的背景和聚焦问题,对中小企业创新、知识产权及其公共服务等研究进行了综述。之后,对本论文的研究内容、所采用的方法、技术路线及创新之处进行了概述。第二章,相关概念界定与理论基础。本章对研究相关的中小企业、知识产权及知识产权公共服务三个核心概念进行了详细阐述和界定。接下来,对新制度经济学、新古典经济学、创新采纳、新公共管理、第三部门及多中心治理等本文研究的理论基础及学术观点进行了介绍。第三章,中小企业知识产权建设与公共服务供给分析。综合已有研究和文献资料,基于对中小企业知识产权建设存在问题及其服务风险与现实困境的研究,对我国面向中小企业知识产权公共服务的供给情况进行分析,归纳并探讨当前知识产权公共服务供给中存在的不足与成因,尝试从现实矛盾出发,初步阐明面向中小企业知识产权公共服务的供给侧症结,为后续进一步从需求侧深入分析奠定基础。第四章,中小企业知识产权公共服务风险与采纳分析。基于前述对中小企业知识产权建设存在问题及其服务风险与现实困境的研究,运用风险感知、创新采纳、组织决策、知识转移等理论观点,结合调研访谈,对中小企业知识产权公共服务风险顾虑进行了释义和解构,并以此建立制约中小企业知识产权公共服务采纳的影响模型,实证检验中小企业知识产权公共服务需求中的影响因素及作用关系等微观机理。最后,通过实证研究结果的讨论,进一步解释了当下存在的某些中小企业知识产权公共服务现象,为探究中小企业“个性化”“差异化”服务需求提供了参考。第五章,国外知识产权公共服务建设实践与借鉴。选择国外知识产权建设较为先进的国家,将其具有代表性的中小企业知识产权公共服务创新模式、特色做法等进行研究,总结提炼出可供借鉴的经验,启发我国对中小企业知识产权公共服务的建设优化。第六章,知识产权公共服务研究启示与对策建议。结合前述对中小企业知识产权公共服务需求、知识产权公共服务供给及国外实践经验等方面的研究结论,围绕破除中小企业知识产权公共服务采纳中的各类制约,归纳并提出从经营保障、服务质量与能力、国际化及人才文化软环境等方向优化我国面向中小企业知识产权公共服务的对策建议。第七章,研究结论与未来展望。总结全文主要的研究结论,对研究存在的局限与不足进行分析和说明,并对有待继续探究的研究方向进行展望。本文主要有以下三个方面的创新:第一,视角方面,针对中小企业知识产权公共服务研究中缺乏系统性的现状,聚焦服务对象——中小企业,从“供给-需求”的角度,对当下我国面向中小企业知识产权公共服务的发展状况和存在问题进行了较为全面、完整的分析,有助通过宏观指导把控更微观层面的知识产权公共服务优化,给出的对策建议针对性和实操性更强。第二,内容方面,现有知识产权公共服务的学术成果中对中小企业需求的关注较少,为数不多聚焦中小企业的研究多为某项公共服务的探讨,研究范围和深度有限。本研究创新性地围绕客户感知,对中小企业的知识产权公共服务风险进行解构,纳入了服务情境、企业及个人三方面高相关性因素,对中小企业知识产权公共服务采纳机理进行刻画,得出了较为全面细致的研究结论。第三,实践性方面,以往的研究集中在对知识产权公共服务较为宏观层面的研究,定性探讨居多,研究结论和对策建议对中小企业知识产权公共服务工作的实践指导性较弱。针对于此,本研究在分析国内外中小企业知识产权公共服务做法的基础上,结合我国知识产权公共服务供给与中小企业服务需求的实际,从加强中小企业知识产权建设保障、提升服务成效、深化国际合作、重视人才培养与文化塑造等方面提出较为具体的策略建议,以期为优化和解决我国知识产权公共服务中存在的现实问题提供启发与决策依据。更多还原

【Abstract】 Since the reform and opening-up 40 years ago,China’s small and medium-sized enterprises and private economy has been rapid development,and have grown into an indispensable part of the national economy.With the continuous growth of China’s economy,the continuous reduction of demographic dividend and the increase of high-tech import barriers,the original low factor cost advantage of small and medium-sized enterprises no longer exists,and the traditional extensive and inefficient development mode is unsustainable.It is urgent to realize high-quality development transformation through innovation driven.Intellectual property is not only the concentrated embodiment of innovation achievements,but also the core element to ignite and stimulate innovation,which plays a leading role in the high-quality development of small and medium-sized enterprises.As the basic guarantee of the whole chain of intellectual property creation,application,protection and management,intellectual property public service provides important support for innovation,Especially for the small and medium-sized enterprises with weak foundation and limited resources,the practical significance of intellectual property public service is self-evident.In fact,although China’s intellectual property public service can provide information retrieval and analysis,finance,rights protection assistance and other services for small and medium-sized enterprises,it is still very limited in scope and level,and the overall structure of the service system is unreasonable.In addition,different from large enterprises,scientific research institutions and other innovative subjects,small and medium-sized enterprises have their own unique development law,business characteristics and innovation needs.However,there is a lack of systematic analysis and in-depth exploration of various "personalized" intellectual property service problems in China’s intellectual property public service,whether in theoretical research,policy-making or service practice,resulting in the lack of policy strength and insufficient link between service supply and demand.Based on this,this study focuses on the issue of intellectual property public service for small and medium-sized enterprises,and carries out a systematic study on the "supply demand" relationship of intellectual property public service.This paper puts the public service in the context of intellectual property,focusing on small and medium-sized enterprises,and analyzes the public service of intellectual property from the two dimensions of supply and demand.Based on the analysis of the difficulties of intellectual property construction of SMEs and the current situation of public service supply,this paper makes a systematic empirical study on the innovation adoption,decision-making and characteristics of intellectual property services of SMEs,and explains the risk concerns of SMEs and their constraints on the adoption of intellectual property public services,It provides guidance and reference for optimizing the design,development,organization and implementation of intellectual property public service projects.This paper consists of seven chapters:The first chapter is introduction.According to the background and research problems of intellectual property public service of small and medium-sized enterprises,this chapter summarizes the research on innovation,intellectual property and public service of small and medium-sized enterprises.After that,the paper introduces the research content,methods,technical route and innovation.The second chapter elaborates the related concepts and theoretical basis.This chapter elaborates and defines the three core concepts of small and medium-sized enterprises,intellectual property and intellectual property public service.It also introduces the theoretical basis and academic views of this paper,such as new institutional economics,neoclassical economics,innovation adoption,new public management,the third sector and polycentric governance.The third chapter is the analysis of intellectual property construction and public service supply of small and medium-sized enterprises.Based on the research on the problems,service risks and practical difficulties of intellectual property construction of small and medium-sized enterprises,this part analyzes the supply of intellectual property public services for small and medium-sized enterprises in China,summarizes and discusses the deficiencies and causes of the current supply of intellectual property public services,and tries to start from the practical contradictions.The supply side crux of intellectual property public services for small and medium-sized enterprises is preliminarily clarified,which lays the foundation for further in-depth analysis from the demand side.The fouth chapter discusses the risk and adoption of intellectual property public service of small and medium-sized enterprises.This part interprets and deconstructs the risk concerns of SMEs’ intellectual property public service,establishes the influence model of restricting the adoption of SMEs’ intellectual property public service,and empirically tests the micro mechanism of influencing factors and functional relationship in the demand of SMEs’ intellectual property public service.Through the discussion of the empirical research results,the paper further explains the existing public service phenomenon of intellectual property rights of some small and medium-sized enterprises,and provides a reference for exploring the individualized and differentiated service demands of small and medium-sized enterprises.The fifth chapter elaborates foreign intellectual property public service construction practice and reference.This part selects foreign countries with advanced intellectual property construction,studies their representative innovation mode and characteristic practice of intellectual property public service of small and medium-sized enterprises,summarizes and refines the experience that can be used for reference,and enlightens our country to optimize the construction of intellectual property public service of small and medium-sized enterprises.The sixth chapter is the enlightenment and countermeasures of intellectual property public service research.Combined with the above research conclusions on the demand for intellectual property public services of small and medium-sized enterprises,the supply of intellectual property public services and foreign practical experience,this paper proposes to optimize the intellectual property public services from the aspects of operation guarantee,service quality and ability,internationalization and talent culture soft environment.The seventh chapter is the research conclusions and future prospects.This part presents the main research conclusions,analyzes and explains the limitations and shortcomings of the research,and prospects the research direction to be further explored.There are three innovations in this paper:First,in terms of research perspective,in view of the lack of systematic research on the intellectual property public service of small and medium-sized enterprises,this paper focuses on the service object-small and medium-sized enterprises,and from the perspective of service "supply demand",makes a comprehensive and complete analysis on the development status and existing problems of intellectual property public service for small and medium-sized enterprises in China.This will help to control the optimization of intellectual property public service at a more micro level through macro guidance,and the countermeasures and suggestions given are more targeted and practical.Second,in terms of research content,the existing academic achievements of intellectual property public service pay less attention to the service demand of small and medium-sized enterprises innovation subject,and the few researches mostly discuss the demand of certain public service,but the scope and depth of research content are limited.This study creatively deconstructs the risk concerns of small and medium-sized enterprises intellectual property service demand around customer perception,and puts the service situation,supply situation and enterprise context into the research.By exploring the micro mechanism of restricting the adoption of intellectual property services in small and medium-sized enterprises,this paper makes a detailed and in-depth description of the demand and adoption process of intellectual property services by small and medium-sized enterprises,so as to provide a more comprehensive reference for improving the public service of intellectual property and optimizing the service environment of intellectual property.Third,in terms of practice,previous studies focused on the macro level of intellectual property public services,with qualitative studies in the majority.However,the research conclusions and suggestions are less targeted and practical guidance for the work of intellectual property public services for small and medium-sized enterprises.In view of this,this study introduces the practice of intellectual property public service of small and medium-sized enterprises at home and abroad,combined with the actual supply of intellectual property public service and service demand of small and medium-sized enterprises in China.This paper puts forward countermeasures and suggestions to optimize the intellectual property public service from the aspects of strengthening the protection of intellectual property construction of small and medium-sized enterprises,improving the efficiency of intellectual property service,deepening the international cooperation of intellectual property public service,paying attention to intellectual property awareness,culture and talent cultivation.The purpose is to analyze and solve the practical problems existing in the current intellectual property public service,and provide inspiration and decision-making reference.更多还原