我国专利产业化机制有效性评价研究
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摘要
专利的多寡和专利产业化程度是衡量一个国家自主创新能力高低的重要标志,较长时间以来我国专利呈现出。种专利申请量很大、但专利有效率和产业化率很低的现象。在我国实施创新驱动战略、建设创新型国家的背景下,专利产业化已经成为一个突出而重要的问题。专利产业化过程中,诸要素在市场经济环境下相互作用形成专利产业化机制,机制是促进专利生产、运用及产业化的助推器。在外部环境急剧变化、技术市场竞争日趋激烈的情况下,我国不仅需要一套行之有效的专利产业化机制,也需要一套科学合理的专利产业化机制有效性评价体系,对产业化机制的运行效果进行评价和监督。因此,研究如何对我国专利产业化机制的有效性进行量化评价,对于充分发挥产业化机制的作用、促进专利产业化工作有着重要的意义。
本文综合运用管理学、科学学、统计学、随机过程等诸多学科领域的理论和知识,从专利产业化机制有效性的基础理论和相关文献研究入手,阐明技术、创新与专利之间的关联关系,厘清了专利实施、专利运用、专利经营、专利技术转移、科技成果产业化等相关概念,从而科学界定了专利产业化、专利产业化机制和专利产业化机制有效性的内涵,明确了本文的研究对象和理论分析框架。
全面分析了专利产业化系统的构成及特点、涉及的主体和要素,提出了由动力机制、转化机制、利益机制、激励机制和协调机制构成的我国专利产业化机制概念模型。结合对专利产业化相关主体的深度访谈,深入了解专利产业化机制在不同主体的具体表现,并通过分析专利产业化机制作用于各个阶段的效果,间接揭示了我国现行专利产业化机制运行现状及存在问题,为专利产业化机制有效性的量化评价提供了理论和现实依据。
基于随机过程理论划分专利产业化机制运行过程的状态,建立产业化机制状态转移模型的半马尔柯夫过程(SMP)模型,设计产业化机制有效性评价指标,并构建了专利产业化机制有效性评价的离散时问马尔柯夫链(DTMC)模型,进。步运用贝叶斯网络(BN)对产业化机制有效性评价指标进行推理、综合,从而为专利产业化机制有效性的量化评价提供了模型和方法。应用构建的机制有效性评价模型,对我国专利产业化机制有效性进行实证评价,结果显示我国现行专利产业化机制有效性“一般”；进一步与有效性“较好”的虚拟专利产业化机制进行了对比分析,并结合对机制有效性评价的参数敏感性分析,揭示了提高专利产业化机制有效性的关键点所在。最后,从专利产业化的不同阶段、专利产业化涉及的不同主体两个角度,分别提出了提高我国专利产业化机制有效性的对策建议。
本文的创新之处主要有：
(1)系统分析了专利产业化过程涉及的主体和要索,提出了促进或制约专利产业化的诸多因索以及它们此消彼长的综合影响可以归结为产业化机制,科学界定了专利产业化、专利产业化机制以及专利产业化机制有效性的内涵,开辟了专利产业化问题研究的新视角,丰富和发展了技术创新理论,完善了我国专利产业化的理论体系。
(2)基于随机过程相关理论,将专利产业化机制运行过程中处于不同阶段的专利抽象为专利产业化机制运行的不同状态,提取出专利的研发、申请、授权、运用、产业化、睡眠、沉没7个状态,综合考虑机制作用的过程、作用的效果和机制自身的特点,设计了产业化机制有效性评价指标,提出了一种按阶段进行机制有效性评价的思路。
(3)应用半马尔柯夫过程(SMP)描述专利产业化状态之间的概率转移模型,进一步综合离散时间马尔柯夫链(DTMC)和贝叶斯网络(BN)方法构建专利产业化机制有效性评价模型,并对我国专利产业化机制有效性进行了量化评价,提高了评价的准确性,为相关问题研究提供了一种新研究方法,拓展了马尔柯夫模型在社会科学研究领域的应用。
The number of patents and patent industrialization level is an important sign of weighing the national independent innovation ability. Since a long time, China has had a large amount of patent applications, but the proportion of effective patent and the industrialized patent is low. Under the background of the implementation of innovation strategy and construction an innovative nation, patent industrialization has become a prominent and important problem for our country. During the process of patent industrialization, the interaction of various elements involved formed the mechanism of patent industrialization in the environment of market economy, and the mechanism is the booster for promotion of patent production use and industrialization. Faced with the dramatic changes in the external environment and the increasing competition in the technology market, China not only need the effective patent industrialization mechanism, but also need a set of scientific and reasonable patent industrialization mechanism evaluation system to evaluate and supervise on the operational effect of the industrialization mechanism. Therefore, to research how to evaluate quantitively the effectiveness of the mechanism of patent industrialization has great significance to fully play the role of industrialization mechanism and promote the work of patent industrialization.
The paper applied theories and knowledge of many disciplines comprehensively including management science, science of sciences, statistics and stochastic process. Beginning from the basic theories and the literature research about the effectiveness of patent industrialization mechanism, the paper defined the concept of patent industrialization, the mechanism of patent industrialization and the effectiveness of patent industrialization mechanism scientifically based on clarifying the relationship in concepts among technology, innovation and patent and clearing up the exploitation of patent, patent utilization, patent operation, patent transformation and the industrialization of scientific and technological achievements.
The paper analyzed the structure and characteristics of the patent industrialization system and the main bodies and elements included in the system, then it put forward the conceptual model of patent industrialization mechanism composed of power mechanism, transformation mechanism, profit mechanism, motivation mechanism and coordination mechanism. On the basis of depth interview with the main bodies of patent industrialization, we got to know the specific performance of the mechanism in different bodies, and through the analysis of the effect in various stage during patent industrialization process, the paper revealed the running status quo and problems of current patent industrialization mechanism in China.
Based on the theory of random process, it divided the running process of patent industrialization mechanism into7different status, then set up the Semi-Markov Process (SMP) model to describe the transition among the status, designed5evaluating indicators and constructed the Discrete Time Markov Chain (DTMC) model to evaluate the effectiveness of the mechanism, further applied Bayesian Network (BN) to inference and synthesize the evaluating indicators to get the comprehensive value of mechanism effectiveness.
Making use of the evaluation model of-nechanism effectiveness, the paper conducted an empirical evaluation for China's current patent industrialization mechanism; the result indicated that mechanism effectiveness is so so, and revealed the key points of enhancing the mechanism effectiveness based on comparative analysis with some theoretical mechanism whose effectiveness is good and the sensitivity analysis of parameters involved in the evaluation model of mechanism effectiveness. Finally, it put forward some countermeasures to enhance the mechanism effectiveness of patent industrialization for China.
The main innovations are as following:
(1) The paper systematically analyzed the main bodies and elements involved in the patent industrialization process and proposed that all the factors which improve or restrict patent industrialization and their comprehensive impact could be summarized into the patent industrialization mechanism, then defined scientifically the concepts of patent industrialization, the mechanism of patent industrialization and the effectiveness of patent industrialization mechanism, creating a new perspective on patent industrialization research, enriching and developing the theory of technology innovation, perfecting the theory system about patent industrialization in China.
(2) Based on the theory of random process, it abstracted the patent at different stages during the running process of patent industrialization mechanism as different statuses including the patent research, application, granting, usage, industrialization, sleeping and discarding. Based on the overall consideration of the process, effect and the characteristics of the mechanism, the paper designed the mechanism effectiveness evaluating indicators and proposed an approach of mechanism effectiveness evaluation according to stages.
(3) The paper adopted the SMP to build the transition model among the various statuses and constructed an evaluation model of patent industrialization mechanism effectiveness applying the DTMC and BN methods, then quantitatively evaluated the mechanism effectiveness of patent industrialization in China for the first time, thus making the quantitative evaluation of mechanism effectiveness come true and improving the accuracy of the evaluation. The paper provided a new research method for related issues research and expanded the application of Markov model to social science research area.
本文综合运用管理学、科学学、统计学、随机过程等诸多学科领域的理论和知识,从专利产业化机制有效性的基础理论和相关文献研究入手,阐明技术、创新与专利之间的关联关系,厘清了专利实施、专利运用、专利经营、专利技术转移、科技成果产业化等相关概念,从而科学界定了专利产业化、专利产业化机制和专利产业化机制有效性的内涵,明确了本文的研究对象和理论分析框架。
全面分析了专利产业化系统的构成及特点、涉及的主体和要素,提出了由动力机制、转化机制、利益机制、激励机制和协调机制构成的我国专利产业化机制概念模型。结合对专利产业化相关主体的深度访谈,深入了解专利产业化机制在不同主体的具体表现,并通过分析专利产业化机制作用于各个阶段的效果,间接揭示了我国现行专利产业化机制运行现状及存在问题,为专利产业化机制有效性的量化评价提供了理论和现实依据。
基于随机过程理论划分专利产业化机制运行过程的状态,建立产业化机制状态转移模型的半马尔柯夫过程(SMP)模型,设计产业化机制有效性评价指标,并构建了专利产业化机制有效性评价的离散时问马尔柯夫链(DTMC)模型,进。步运用贝叶斯网络(BN)对产业化机制有效性评价指标进行推理、综合,从而为专利产业化机制有效性的量化评价提供了模型和方法。应用构建的机制有效性评价模型,对我国专利产业化机制有效性进行实证评价,结果显示我国现行专利产业化机制有效性“一般”；进一步与有效性“较好”的虚拟专利产业化机制进行了对比分析,并结合对机制有效性评价的参数敏感性分析,揭示了提高专利产业化机制有效性的关键点所在。最后,从专利产业化的不同阶段、专利产业化涉及的不同主体两个角度,分别提出了提高我国专利产业化机制有效性的对策建议。
本文的创新之处主要有：
(1)系统分析了专利产业化过程涉及的主体和要索,提出了促进或制约专利产业化的诸多因索以及它们此消彼长的综合影响可以归结为产业化机制,科学界定了专利产业化、专利产业化机制以及专利产业化机制有效性的内涵,开辟了专利产业化问题研究的新视角,丰富和发展了技术创新理论,完善了我国专利产业化的理论体系。
(2)基于随机过程相关理论,将专利产业化机制运行过程中处于不同阶段的专利抽象为专利产业化机制运行的不同状态,提取出专利的研发、申请、授权、运用、产业化、睡眠、沉没7个状态,综合考虑机制作用的过程、作用的效果和机制自身的特点,设计了产业化机制有效性评价指标,提出了一种按阶段进行机制有效性评价的思路。
(3)应用半马尔柯夫过程(SMP)描述专利产业化状态之间的概率转移模型,进一步综合离散时间马尔柯夫链(DTMC)和贝叶斯网络(BN)方法构建专利产业化机制有效性评价模型,并对我国专利产业化机制有效性进行了量化评价,提高了评价的准确性,为相关问题研究提供了一种新研究方法,拓展了马尔柯夫模型在社会科学研究领域的应用。
The number of patents and patent industrialization level is an important sign of weighing the national independent innovation ability. Since a long time, China has had a large amount of patent applications, but the proportion of effective patent and the industrialized patent is low. Under the background of the implementation of innovation strategy and construction an innovative nation, patent industrialization has become a prominent and important problem for our country. During the process of patent industrialization, the interaction of various elements involved formed the mechanism of patent industrialization in the environment of market economy, and the mechanism is the booster for promotion of patent production use and industrialization. Faced with the dramatic changes in the external environment and the increasing competition in the technology market, China not only need the effective patent industrialization mechanism, but also need a set of scientific and reasonable patent industrialization mechanism evaluation system to evaluate and supervise on the operational effect of the industrialization mechanism. Therefore, to research how to evaluate quantitively the effectiveness of the mechanism of patent industrialization has great significance to fully play the role of industrialization mechanism and promote the work of patent industrialization.
The paper applied theories and knowledge of many disciplines comprehensively including management science, science of sciences, statistics and stochastic process. Beginning from the basic theories and the literature research about the effectiveness of patent industrialization mechanism, the paper defined the concept of patent industrialization, the mechanism of patent industrialization and the effectiveness of patent industrialization mechanism scientifically based on clarifying the relationship in concepts among technology, innovation and patent and clearing up the exploitation of patent, patent utilization, patent operation, patent transformation and the industrialization of scientific and technological achievements.
The paper analyzed the structure and characteristics of the patent industrialization system and the main bodies and elements included in the system, then it put forward the conceptual model of patent industrialization mechanism composed of power mechanism, transformation mechanism, profit mechanism, motivation mechanism and coordination mechanism. On the basis of depth interview with the main bodies of patent industrialization, we got to know the specific performance of the mechanism in different bodies, and through the analysis of the effect in various stage during patent industrialization process, the paper revealed the running status quo and problems of current patent industrialization mechanism in China.
Based on the theory of random process, it divided the running process of patent industrialization mechanism into7different status, then set up the Semi-Markov Process (SMP) model to describe the transition among the status, designed5evaluating indicators and constructed the Discrete Time Markov Chain (DTMC) model to evaluate the effectiveness of the mechanism, further applied Bayesian Network (BN) to inference and synthesize the evaluating indicators to get the comprehensive value of mechanism effectiveness.
Making use of the evaluation model of-nechanism effectiveness, the paper conducted an empirical evaluation for China's current patent industrialization mechanism; the result indicated that mechanism effectiveness is so so, and revealed the key points of enhancing the mechanism effectiveness based on comparative analysis with some theoretical mechanism whose effectiveness is good and the sensitivity analysis of parameters involved in the evaluation model of mechanism effectiveness. Finally, it put forward some countermeasures to enhance the mechanism effectiveness of patent industrialization for China.
The main innovations are as following:
(1) The paper systematically analyzed the main bodies and elements involved in the patent industrialization process and proposed that all the factors which improve or restrict patent industrialization and their comprehensive impact could be summarized into the patent industrialization mechanism, then defined scientifically the concepts of patent industrialization, the mechanism of patent industrialization and the effectiveness of patent industrialization mechanism, creating a new perspective on patent industrialization research, enriching and developing the theory of technology innovation, perfecting the theory system about patent industrialization in China.
(2) Based on the theory of random process, it abstracted the patent at different stages during the running process of patent industrialization mechanism as different statuses including the patent research, application, granting, usage, industrialization, sleeping and discarding. Based on the overall consideration of the process, effect and the characteristics of the mechanism, the paper designed the mechanism effectiveness evaluating indicators and proposed an approach of mechanism effectiveness evaluation according to stages.
(3) The paper adopted the SMP to build the transition model among the various statuses and constructed an evaluation model of patent industrialization mechanism effectiveness applying the DTMC and BN methods, then quantitatively evaluated the mechanism effectiveness of patent industrialization in China for the first time, thus making the quantitative evaluation of mechanism effectiveness come true and improving the accuracy of the evaluation. The paper provided a new research method for related issues research and expanded the application of Markov model to social science research area.
引文
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