發(fā)布時(shí)間：2018-03-28 09:12

  本文選題：專利合作　切入點(diǎn)：共同發(fā)明　出處：《武漢大學(xué)》2012年博士論文

【摘要】：創(chuàng)新是一個(gè)民族進(jìn)步的靈魂,是一個(gè)國(guó)家興旺發(fā)達(dá)的不竭動(dòng)力。而創(chuàng)新又是一種高智力、高投入和高風(fēng)險(xiǎn)的復(fù)雜性社會(huì)勞動(dòng),需要集體的智慧和力量。無論是在自然科學(xué)領(lǐng)域還是人文社科領(lǐng)域,科技創(chuàng)新活動(dòng)的集體化和合作化趨勢(shì)不斷加強(qiáng),合作研究的比例呈現(xiàn)出穩(wěn)步上升的態(tài)勢(shì),而且朝著高水平、深層次、多方位的方向發(fā)展。正如控制論的創(chuàng)始人維納(Norbert Wiener)所言,如同愛迪生一樣進(jìn)行個(gè)人發(fā)明創(chuàng)造的時(shí)代已經(jīng)遠(yuǎn)去,現(xiàn)在進(jìn)入了科學(xué)合作的時(shí)代。關(guān)于科學(xué)合作問題的研究引起了學(xué)界廣泛的關(guān)注,但就目前已有研究成果來看,大多是從合著論文的角度展開計(jì)量和論述的。專利是創(chuàng)新體系的重要組成部分,在諸多形式的科研產(chǎn)出中,專利是最能直接表征創(chuàng)新能力和科技水平的成果形式之一,大約80%的可得技術(shù)信息都會(huì)出現(xiàn)于專利出版物中,且通常不會(huì)在其它地方再現(xiàn)。從專利角度對(duì)科學(xué)合作問題進(jìn)行研究,能夠在一定程度上豐富科學(xué)合作領(lǐng)域已有的研究成果,并且能夠發(fā)現(xiàn)大量新的有價(jià)值的結(jié)論與啟示。 本文站在面向國(guó)家創(chuàng)新體系建設(shè)的高度,將科學(xué)計(jì)量學(xué)的理論、方法和工具從科學(xué)文獻(xiàn)延伸到專利技術(shù),對(duì)發(fā)明人和專利權(quán)人之間的合作關(guān)系與合作模式以及伴隨著專利合作而產(chǎn)生的知識(shí)交流情況進(jìn)行計(jì)量分析,旨在為科研管理部門和廣大的科技工作者提供參考信息與決策依據(jù),并希望能夠在此基礎(chǔ)上為提高科研效率和推動(dòng)國(guó)家創(chuàng)新體系建設(shè)提供一定的意見和建議。通過定量化的統(tǒng)計(jì)和分析,我們可以更加直觀地了解到我國(guó)專利的生產(chǎn)、分布、交流、合作以及發(fā)展變化情況。從中所得出的大量豐富而翔實(shí)的統(tǒng)計(jì)數(shù)據(jù)和分析結(jié)果,以及在此基礎(chǔ)之上所提出的改進(jìn)措施和優(yōu)化策略,能夠?yàn)楦纳苿?chuàng)新環(huán)境、促進(jìn)知識(shí)交流、提高技術(shù)水平、推動(dòng)我國(guó)專利事業(yè)發(fā)展提供定量與定性相結(jié)合的參考信息和決策依據(jù)。 本文的內(nèi)容框架除了引言和結(jié)論展望以外,主要包含三大部分： 第一部分(第1章)是對(duì)理論基礎(chǔ)的梳理和探討,主要包含相關(guān)概念、相關(guān)因素、基礎(chǔ)理論和研究視角等四個(gè)方面的內(nèi)容。首先對(duì)專利合作的相關(guān)概念進(jìn)行了解釋和界定,對(duì)科學(xué)計(jì)量與專利計(jì)量、科學(xué)合作與專利合作、知識(shí)轉(zhuǎn)移與技術(shù)轉(zhuǎn)移、知識(shí)交流與知識(shí)創(chuàng)新等相關(guān)主題及其關(guān)系進(jìn)行了系統(tǒng)地梳理；然后圍繞專利合作的主體、專利合作的動(dòng)機(jī)、專利合作研究的應(yīng)用領(lǐng)域等三個(gè)方面的問題,對(duì)專利合作的相關(guān)因素進(jìn)行了一定的探討；接著,分析了專利合作研究的基礎(chǔ)理論,包括大科學(xué)論、科研生產(chǎn)力與生產(chǎn)關(guān)系理論、科學(xué)分化與科學(xué)統(tǒng)一理論、系統(tǒng)論、協(xié)同論等；最后,歸納出專利合作的五大研究視角,分別是法學(xué)視角、經(jīng)濟(jì)學(xué)視角、科學(xué)計(jì)量學(xué)視角、情報(bào)學(xué)視角、知識(shí)管理學(xué)視角,并分別概括了每種視角下的主要研究?jī)?nèi)容及特征。 第二部分(第2章、第3章、第4章)分別采用數(shù)理統(tǒng)計(jì)、社會(huì)網(wǎng)絡(luò)分析和相關(guān)性分析三類方法,分別從數(shù)量、結(jié)構(gòu)、關(guān)系三個(gè)角度,對(duì)我國(guó)現(xiàn)有的專利合作模式進(jìn)行了揭示與分析。其中： 第2章是對(duì)專利合作模式的整體描述與分析,從合作率與合作度、專利合作頻次分布規(guī)律、基于合作者數(shù)量的專利合作模式分布規(guī)律、基于合作類型的專利合作模式分布規(guī)律等四個(gè)方面分別考察專利合作的程度、強(qiáng)度、規(guī)模和范圍。統(tǒng)計(jì)結(jié)果顯示,目前我國(guó)專利合作程度較低,合作規(guī)模較小,合作強(qiáng)度和范圍都亟待提高。 第3章分別從整體網(wǎng)絡(luò)、網(wǎng)絡(luò)結(jié)構(gòu)、網(wǎng)絡(luò)節(jié)點(diǎn)等方面對(duì)專利合作網(wǎng)絡(luò)進(jìn)行了全面的分析,找出了合作網(wǎng)絡(luò)中的小團(tuán)體和明星節(jié)點(diǎn),并從現(xiàn)有的專利合作網(wǎng)絡(luò)中揭示出幾種典型的合作模式。該部分不僅證實(shí)了專利合作網(wǎng)絡(luò)是一個(gè)典型的復(fù)雜網(wǎng)絡(luò),而且證實(shí)了專利合作網(wǎng)絡(luò)還是一個(gè)社會(huì)關(guān)系網(wǎng)絡(luò),專利合作關(guān)系是親緣、地緣、業(yè)緣等社會(huì)關(guān)系在專利研發(fā)領(lǐng)域的映射。另外,通過區(qū)域合作網(wǎng)絡(luò)分析發(fā)現(xiàn),我國(guó)大陸地區(qū)31個(gè)省區(qū)之間的專利合作關(guān)系及其強(qiáng)度存在著顯著的空間分布不均衡和地域傾向。 第4章驗(yàn)證了專利合作以及不同形式的合作模式對(duì)于專利產(chǎn)出的影響。研究結(jié)果證實(shí)了專利合作與專利產(chǎn)出之間確實(shí)存在著一定的相關(guān)關(guān)系,而專利合作能否促進(jìn)專利產(chǎn)出在一定程度上受到專利合作模式的影響。合作范圍、合作者數(shù)量、合作伙伴類型等因素都能對(duì)產(chǎn)出水平產(chǎn)生顯著的影響,發(fā)明人或?qū)＠麢?quán)人應(yīng)該結(jié)合自身的條件和需求合理地選擇合作模式。 第三部分(第5章)是專利合作模式的優(yōu)化策略研究。首先,指出了我國(guó)現(xiàn)有專利合作模式中存在的問題和不足,主要表現(xiàn)為合作程度偏低、合作模式單一區(qū)域分布不均衡、產(chǎn)學(xué)研合作基礎(chǔ)薄弱；然后,針對(duì)以上問題,提出了具體的優(yōu)化建議和措施,包括提高專利合作程度、科學(xué)地組織專利合作過程、合作模式多元化、以社會(huì)關(guān)系推動(dòng)專利合作、加強(qiáng)校企合作、拓展國(guó)際交流與合作、進(jìn)一步明確創(chuàng)新主體的地位和功能、構(gòu)建科技創(chuàng)新聯(lián)盟等多個(gè)方面；最后,提出了專利合作模式所需的保障機(jī)制,包括制度保障、文化環(huán)境和平臺(tái)保障。
[Abstract]:Innovation is the soul of a nation ' s progress , it is a country ' s flourishing power . The innovation is a kind of high intelligence , high investment and high - risk complex social labor , which needs collective wisdom and power .

Through quantitative statistics and analysis , we can learn more intuitively about the production , distribution , communication , cooperation and development change of the patent in our country . Through quantitative statistics and analysis , we can learn more intuitively about the production , distribution , communication , cooperation and development change of our patent .

In addition to the introduction and conclusion , the content framework of this paper mainly consists of three parts :

The first part ( chapter 1 ) is a sort and discussion on the theoretical foundation , which mainly contains the contents of the relevant concepts , relevant factors , basic theory and research perspective . Firstly , the relevant concepts of patent cooperation are explained and defined , and the relevant themes and their relationship of scientific measurement and patent measurement , scientific cooperation and patent cooperation , knowledge transfer and technology transfer , knowledge exchange and knowledge innovation are systematically reviewed .
Then it discusses the related factors of patent cooperation , including the subject of patent cooperation , the motive of patent cooperation , the application field of patent cooperation research and so on .
Then , the basic theory of patent cooperation research is analyzed , including big scientific theory , scientific research productivity and productive relationship theory , scientific differentiation and scientific unification theory , systematic theory , synergy theory , etc .
Finally , the five research perspectives of patent cooperation are summarized , which are the angle of law , the angle of economics , the angle of scientific metrology , the angle of information science and the perspective of knowledge management , and summarizes the main contents and characteristics of each perspective .

The second part ( chapter 2 , chapter 3 , chapter 4 ) adopts three methods of mathematical statistics , social network analysis and correlation analysis , and reveals and analyzes the existing patent cooperation mode from three angles : quantity , structure and relationship .

Chapter 2 is the whole description and analysis of patent cooperation mode , from cooperation rate and cooperation degree , patent cooperation frequency distribution law , patent cooperation pattern distribution law based on cooperation type , patent cooperation pattern distribution law based on cooperation type , and so on . The statistical results show that the degree of patent cooperation in our country is low , cooperation scale is small , cooperation intensity and scope need to be improved .

Chapter 3 analyzes the patent cooperation network from the aspects of overall network , network structure , network node and so on , finds out the small groups and star nodes in the cooperative network , and reveals several typical cooperative modes from the existing patent cooperation network . The part not only confirms that the patent cooperation network is a typical complex network , but also proves that the patent cooperation network is a social relation network .

Chapter 4 verifies the influence of patent cooperation and different forms of cooperation pattern on patent output . The research results confirm that there is a certain relationship between patent cooperation and patent output , and whether patent cooperation can promote patent output is influenced by patent cooperation mode to a certain extent .

The third part ( chapter 5 ) is the research on the optimization strategy of patent cooperation model . First , it points out the problems and shortcomings existing in the existing patent cooperation model of our country , mainly shows that the cooperation degree is low , the single regional distribution of cooperative mode is not balanced , and the cooperation base of production and research cooperation is weak ;
Then , aiming at the above problems , the concrete optimization suggestions and measures are put forward , including improving the degree of patent cooperation , scientific organization of patent cooperation process , diversification of cooperation mode , promoting patent cooperation by social relations , strengthening cooperation between schools and enterprises , expanding international exchange and cooperation , further defining the position and function of innovation subject , and constructing scientific and technological innovation alliance , etc . ;
Finally , the guarantee mechanism needed for patent cooperation model is put forward , including institutional guarantee , cultural environment and platform guarantee .

【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2012
【分類號(hào)】：G306;G353.1

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