技术标准演进中的标准创立者专利行为研究
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摘要
随着技术进步的加速和技术构成的复杂化,技术标准逐步突破技术规范的范畴,向吸纳一定专利的方向发展。在电子信息、网络通讯等高技术领域,基于技术专利创立的技术标准不断增加,标准创立者的专利行为在技术标准演进过程中的重要性日益凸显。与此同时,技术标准涉及的专利急速膨胀,使持有技术标准相关专利的企业迅速增加,标准创立者的专利行为日益复杂,亟待开展深入研究。
论文首先对技术标准理论、技术标准中的专利研究以及专利分析方法进行了回顾与评述,为论文选题与研究方法的选择提供理论支持。在此基础上,针对存在的现实问题,提出研究假设并开展专题研究。首先,应用专利地图分析方法对标准创立者的专利申请行为进行分析,理清了专利申请行为与技术标准创立之间的关系；其次,将专利权人之间的专利引用作为突破口,采用社会网络分析方法,以中心度为测度指标,分析技术标准创立者的专利引用网络；最后,以专利价值为测度指标,通过大样本回归分析,研究技术标准演进过程中创立者的专利声明行为。
对技术标准创立者专利申请行为的研究表明,在技术标准大量引用专利的背景下,标准创立者将持有的技术申请为专利,为参与技术标准创立奠定了技术基础。标准相关技术提案的主导者在技术标准创立者中居于核心地位,对技术标准制定起着关键作用；标准创立者持有的技术专利不仅是早期标准制定的重要支撑,而且决定着标准未来发展方向。技术专利促进了标准创立者之间的结盟行为,这反过来又使标准创立者之间具有强技术相关性。
对技术标准创立者专利引用网络的研究表明,由于技术构成复杂化和专利丛林化,参与标准创立的专利权人之间存在高凝聚力、紧密连接的专利引用网络；这促进了技术标准的研发与产业化；少数专利权人对网络内专利引用关系具有控制作用,强化了主导企业对技术标准相关技术资源的控制；高被引专利权人是专利引用网络形成的基础,在技术标准创立过程中发挥着重要作用。
对技术标准创立者专利声明行为的研究表明,标准创立前后是专利声明的高峰期,在标准创立后,仍然存在大量专利声明；标准创立后的专利声明主要由技术标准的先入者持有。泊松回归分析结果表明,同等条件下,声明时间越晚的专利,专利价值越低；标准创立后的专利声明中,先入者的专利价值低于后来者的专利价值。这表明,在技术标准演进中存在先入者策略性的专利声明行为,倾向于将低价值专利纳入技术标准。
With the acceleration of technological progress and the increasing complexity of technology, technical standards are exceeding the scope of technical specifications to citing patents. In high-tech areas such as the information and communication industry, technical standards based on patents are gradually increasing, which make the patent behavior of founders play an important role in the evolution of technical standards. Meanwhile, patents incorporated into standards are increasing rapidly, which make the related patent holders grow fast. The patent behavior of founders of standards is becoming more complex, which is urgent to carry out in-depth study.
The literature review is written on the theory of technical standards, patents incorporated in technical standards and patent analysis methods, which provide support for the selection of research question and research methods. On the basis of the above research, the hypothesis was put forward in connection with the existing problems and three issues were carried out as follows. Firstly, the patent application behavior of standard founders is studied based on patent map so as to explore the relationship between patent application behavior and the establishment of technical standards. Secondly, taking patents citation among founders as a breakthrough, the patent citation network of standard founders is measured with centrality index using social network analysis method. Thirdly, the patent declaration behavior of standard founders during the evolution of technical standards is studied through the large sample regression with the patent value index.
The research of patent application behavior of founder shows that making patent applications of technology own by standard founders provide technological basis for the establishment of technical standards under the background of technical standards citing patents. The leading enterprises of technical proposals are the core in the correlation relationship of standard founders and play key roles in the standards establishment. The patents which standard founders own related to technical standards not only establish the early foundation for technical standards but also determine the future evolution of standards. The standard founders tend to form alliances in the standards establishment, which make these enterprises have a strong technical correlation.
The research of patent citation network of founders show that there is a closely connected network with high cohesion among the assignees related to technical standards due to the technical complexity and the formation of patent thickets, which promote the development of technical standard proposals and the industrialization of technical standards. A small number of assignees have control over the citation relationship which strengthens the control ability of recourses related to technical standards for the leading enterprises. Highly cited assignees are the formation basis of the citation network and play important roles in standards-setting process.
The research of patent declaration behavior of founders shows that there is a peak of patents declaration around the establishment of technical standards. There is a great many of patent declarations after standards were established, which are controlled by the first-movers. The regression analysis of large data sets show that the patent value of first-movers is lower than that of newcomers after the technical standards were established, which demonstrates that there are strategic declarations of first-movers during the evolution of technical standards. The first-movers try to pad the low value patents into the technical standards.
论文首先对技术标准理论、技术标准中的专利研究以及专利分析方法进行了回顾与评述,为论文选题与研究方法的选择提供理论支持。在此基础上,针对存在的现实问题,提出研究假设并开展专题研究。首先,应用专利地图分析方法对标准创立者的专利申请行为进行分析,理清了专利申请行为与技术标准创立之间的关系；其次,将专利权人之间的专利引用作为突破口,采用社会网络分析方法,以中心度为测度指标,分析技术标准创立者的专利引用网络；最后,以专利价值为测度指标,通过大样本回归分析,研究技术标准演进过程中创立者的专利声明行为。
对技术标准创立者专利申请行为的研究表明,在技术标准大量引用专利的背景下,标准创立者将持有的技术申请为专利,为参与技术标准创立奠定了技术基础。标准相关技术提案的主导者在技术标准创立者中居于核心地位,对技术标准制定起着关键作用；标准创立者持有的技术专利不仅是早期标准制定的重要支撑,而且决定着标准未来发展方向。技术专利促进了标准创立者之间的结盟行为,这反过来又使标准创立者之间具有强技术相关性。
对技术标准创立者专利引用网络的研究表明,由于技术构成复杂化和专利丛林化,参与标准创立的专利权人之间存在高凝聚力、紧密连接的专利引用网络；这促进了技术标准的研发与产业化；少数专利权人对网络内专利引用关系具有控制作用,强化了主导企业对技术标准相关技术资源的控制；高被引专利权人是专利引用网络形成的基础,在技术标准创立过程中发挥着重要作用。
对技术标准创立者专利声明行为的研究表明,标准创立前后是专利声明的高峰期,在标准创立后,仍然存在大量专利声明；标准创立后的专利声明主要由技术标准的先入者持有。泊松回归分析结果表明,同等条件下,声明时间越晚的专利,专利价值越低；标准创立后的专利声明中,先入者的专利价值低于后来者的专利价值。这表明,在技术标准演进中存在先入者策略性的专利声明行为,倾向于将低价值专利纳入技术标准。
With the acceleration of technological progress and the increasing complexity of technology, technical standards are exceeding the scope of technical specifications to citing patents. In high-tech areas such as the information and communication industry, technical standards based on patents are gradually increasing, which make the patent behavior of founders play an important role in the evolution of technical standards. Meanwhile, patents incorporated into standards are increasing rapidly, which make the related patent holders grow fast. The patent behavior of founders of standards is becoming more complex, which is urgent to carry out in-depth study.
The literature review is written on the theory of technical standards, patents incorporated in technical standards and patent analysis methods, which provide support for the selection of research question and research methods. On the basis of the above research, the hypothesis was put forward in connection with the existing problems and three issues were carried out as follows. Firstly, the patent application behavior of standard founders is studied based on patent map so as to explore the relationship between patent application behavior and the establishment of technical standards. Secondly, taking patents citation among founders as a breakthrough, the patent citation network of standard founders is measured with centrality index using social network analysis method. Thirdly, the patent declaration behavior of standard founders during the evolution of technical standards is studied through the large sample regression with the patent value index.
The research of patent application behavior of founder shows that making patent applications of technology own by standard founders provide technological basis for the establishment of technical standards under the background of technical standards citing patents. The leading enterprises of technical proposals are the core in the correlation relationship of standard founders and play key roles in the standards establishment. The patents which standard founders own related to technical standards not only establish the early foundation for technical standards but also determine the future evolution of standards. The standard founders tend to form alliances in the standards establishment, which make these enterprises have a strong technical correlation.
The research of patent citation network of founders show that there is a closely connected network with high cohesion among the assignees related to technical standards due to the technical complexity and the formation of patent thickets, which promote the development of technical standard proposals and the industrialization of technical standards. A small number of assignees have control over the citation relationship which strengthens the control ability of recourses related to technical standards for the leading enterprises. Highly cited assignees are the formation basis of the citation network and play important roles in standards-setting process.
The research of patent declaration behavior of founders shows that there is a peak of patents declaration around the establishment of technical standards. There is a great many of patent declarations after standards were established, which are controlled by the first-movers. The regression analysis of large data sets show that the patent value of first-movers is lower than that of newcomers after the technical standards were established, which demonstrates that there are strategic declarations of first-movers during the evolution of technical standards. The first-movers try to pad the low value patents into the technical standards.
引文
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