【摘要】：在當(dāng)今知識(shí)產(chǎn)權(quán)主導(dǎo)的技術(shù)環(huán)境中,技術(shù)標(biāo)準(zhǔn)與專(zhuān)利技術(shù)的結(jié)合成為電子、通訊等高科技產(chǎn)業(yè)內(nèi)的發(fā)展趨勢(shì)。在這一背景下,技術(shù)標(biāo)準(zhǔn)的通用性與專(zhuān)利技術(shù)的私權(quán)性成為一對(duì)基本矛盾,貫穿標(biāo)準(zhǔn)化實(shí)施的始末。標(biāo)準(zhǔn)一經(jīng)制定,標(biāo)準(zhǔn)廠商必須獲得關(guān)鍵專(zhuān)利技術(shù)的讓渡或許可方能進(jìn)行生產(chǎn)和銷(xiāo)售,否則將面臨嚴(yán)厲的專(zhuān)利侵權(quán)賠償。由于上述基本矛盾的存在,從20世紀(jì)90年代至今,在相關(guān)產(chǎn)業(yè)內(nèi)關(guān)于標(biāo)準(zhǔn)化技術(shù)許可的糾紛和爭(zhēng)議就從未終止,技術(shù)許可的規(guī)制函待完善；另一方面,作為WTO的主要成員國(guó),我國(guó)已經(jīng)充分融入了世界性的標(biāo)準(zhǔn)化進(jìn)程。而且,我國(guó)企業(yè)一般作為專(zhuān)利技術(shù)的被許可方,屬于技術(shù)后進(jìn)者。在多層次的技術(shù)溢出條件下,如何適時(shí)地調(diào)整許可和研發(fā)策略,以實(shí)現(xiàn)自身的技術(shù)積累,是當(dāng)前我國(guó)高新技術(shù)企業(yè)急需解決的問(wèn)題。針對(duì)這兩方面,本文展開(kāi)了全面和細(xì)致的研究,具體可分為三個(gè)研究板塊： (1)奠基性研究。首先介紹了知識(shí)產(chǎn)權(quán)與技術(shù)標(biāo)準(zhǔn)結(jié)合的研究背景,以及技術(shù)標(biāo)準(zhǔn)化實(shí)施中存在的專(zhuān)利叢林和專(zhuān)利劫持兩類(lèi)問(wèn)題。針對(duì)以上問(wèn)題,引出合作性技術(shù)標(biāo)準(zhǔn)化的組織形式和各自的職能。標(biāo)準(zhǔn)一經(jīng)制定,相關(guān)專(zhuān)利權(quán)人往往憑借其市場(chǎng)力的提升,索取遠(yuǎn)高于自身專(zhuān)利技術(shù)價(jià)值的費(fèi)用。有鑒于此,SSO為了規(guī)范標(biāo)準(zhǔn)技術(shù)市場(chǎng)提出了披露規(guī)則和FRAND規(guī)則。本文著重分析了在事后專(zhuān)利劫持、雙邊許可協(xié)商和事前技術(shù)競(jìng)爭(zhēng)等經(jīng)濟(jì)情境下FRAND規(guī)則的多重含義。最后,以各種情境下專(zhuān)利權(quán)人和標(biāo)準(zhǔn)用戶(hù)之間的制衡關(guān)系為基礎(chǔ),提出進(jìn)一步的政策建議。 (2)模型研究。在前一階段的研究中,將技術(shù)許可的改進(jìn)方向確定為事前許可協(xié)商。在同質(zhì)投資的觀點(diǎn)下,通過(guò)一個(gè)序貫投資模型刻畫(huà)了事前協(xié)商下許可雙方的收益和投資激勵(lì),并導(dǎo)致了雙邊劫持的結(jié)果。為了優(yōu)化許可程序,進(jìn)一步考察了事前許可協(xié)商的實(shí)施對(duì)研發(fā)和生產(chǎn)的影響；并確定了有效率投資下事前協(xié)商的適用范圍。研究得出以下結(jié)論：(1)事前協(xié)商下聯(lián)合預(yù)期盈余提高,對(duì)廠商的劫持被克服；(2)短期實(shí)施提高廠商投資和技術(shù)價(jià)值,事前協(xié)商可行；長(zhǎng)期實(shí)施導(dǎo)致研發(fā)阻滯,事前協(xié)商可行性較差。 在技術(shù)標(biāo)準(zhǔn)化的實(shí)施中,普遍存在著技術(shù)領(lǐng)先者對(duì)后進(jìn)者的技術(shù)溢出。在合約理論的框架內(nèi)研究了標(biāo)準(zhǔn)化技術(shù)許可的演進(jìn)：采用一個(gè)雙邊序貫投資模型刻畫(huà)了許可雙方在單向許可下的得益和投資激勵(lì),并導(dǎo)致了劫持的后果。之后,基于后進(jìn)者對(duì)核心技術(shù)進(jìn)行局部改進(jìn)的假設(shè),引入回饋許可機(jī)制,并分別考察這一制度下許可雙方的收益和研發(fā)狀況。研究指出：(1)由于后進(jìn)者談判力的提升,領(lǐng)先者愿意與之進(jìn)行交叉許可；(2)上述劫持被克服,后進(jìn)者的投資和研發(fā)激勵(lì)均得到提高。最后,對(duì)后進(jìn)者提出了進(jìn)一步的政策建議。 (3)實(shí)證研究。這一部分的研究任務(wù)是映證模型研究中提出的結(jié)論和相關(guān)的政策建議。首先,通過(guò)采集四個(gè)標(biāo)準(zhǔn)制定組織(SSO)披露的專(zhuān)利信息,并以專(zhuān)利引證的方法研究了相關(guān)技術(shù)在前后相繼的3個(gè)代際間的績(jī)效,并與非代際標(biāo)準(zhǔn)作比較。隨后,對(duì)GSM國(guó)際性標(biāo)準(zhǔn)展開(kāi)案例研究,從技術(shù)標(biāo)準(zhǔn)的演進(jìn)和技術(shù)偏轉(zhuǎn)兩個(gè)方向進(jìn)行論述。案例研究充分證實(shí)了雙向許可對(duì)技術(shù)集群的偏轉(zhuǎn)作用。至此,模型研究中的研究假設(shè)和主要研究結(jié)論都得到了證實(shí)。 在本研究的最后,建立了標(biāo)準(zhǔn)化技術(shù)評(píng)價(jià)體系。基于前期的研究成果,模擬當(dāng)下大型SSO中的標(biāo)準(zhǔn)化技術(shù)的演變過(guò)程,給出技術(shù)評(píng)價(jià)的基本步驟和應(yīng)用模式；最后,將實(shí)證數(shù)據(jù)導(dǎo)入模型,完成一份算例分析。該模擬實(shí)驗(yàn)對(duì)于標(biāo)準(zhǔn)化實(shí)施中的技術(shù)后進(jìn)者有重要的參考價(jià)值和指導(dǎo)意義。
[Abstract]:In the current intellectual property-oriented technology environment, the combination of the technical standard and the patent technology has become the developing trend in the high-tech industries such as electronic and communication. In this background, the universality of the technical standard and the proprietary rights of the patent technology become a pair of basic contradictions, through the beginning of the standardized implementation. Once the standard is established, the standard manufacturer must obtain the transfer of the key patent technology, and may be able to make production and sale, or it will face severe patent infringement compensation. As a result of the above-mentioned basic contradiction, since the 1990s, the disputes and disputes concerning the licensing of the standardization technology in the relevant industries have never been terminated, and the regulatory letter of the technology license is to be improved; on the other hand, as the main member of the WTO, My country has fully integrated into the universal process of standardization. In addition, our country is generally regarded as the licensee of the patent technology, and belongs to the technical back-in person. Under the condition of multi-level technology overflow, how to timely adjust the license and R & D strategy to realize its own technology accumulation is the problem that the high-tech enterprises in our country need to solve urgently. In view of these two aspects, this paper has carried out a comprehensive and detailed study, which can be divided into three research plates: (1) The foundation of the foundation The paper first introduces the research background of the combination of the intellectual property and the technical standard, and the patent jungles and patent hijackings existing in the implementation of the technology standardization. In the light of the above questions, the organizational form and their respective positions for the standardization of cooperative technologies are drawn out. As soon as the standard is established, the relevant patentee is often able to obtain a fee that is much higher than the value of its own patent technology by virtue of the promotion of its market force For this reason, SSO provides the disclosure rules and the FRAD rules for the specification of the standard technical market In this paper, the multiple content of the FRND rule in the economic situation such as the post-patent hijacking, the bilateral license negotiation and the prior-technology competition is analyzed. Finally, based on the balance between the patentee and the standard user in various situations, a further policy construction is put forward. discussion on (2) Type of study. In the previous phase of the study, the direction of improvement of the technical license was determined as prior Negotiable. In the perspective of homogeneous investment, through a sequential investment model, a sequential investment model is adopted to describe the benefits and investment incentives of the two parties in advance and lead to bilateral hijackings. As a result, in order to optimize the licensing procedure, the effect of the prior permission consultation on the R & D and production is further investigated, and the prior consultation in the effective investment is determined. Using the scope, the following conclusions are drawn: (1) the joint expected surplus is improved under the prior consultation, and the hijack of the manufacturer is overcome; (2) the short-term implementation increases the investment and technical value of the manufacturers, and the prior consultation is feasible; and the long-term implementation leads to the R & D block, and the prior consultation is feasible Poor performance. In the implementation of the technology standardization, the technology leader is ubiquitous in the back-in In the framework of the contract theory, the evolution of the standardization technology license is studied: a bilateral sequential investment model is adopted to describe the benefit and investment incentive of the two parties under the one-way license, After that, based on the postplayer's assumption of local improvement of the core technology, the feedback licensing mechanism is introduced, and the benefits of the two parties under this system are examined separately. The research points out that: (1) the leader is willing to cross-license with it because of the promotion of the latter's negotiation power; (2) the above-mentioned hijack is overcome, and the investment and research and development incentive of the latter and finally, the back-in person is further provided with a further Policy recommendations. (3) An empirical study. The research task of this part is the conclusion and conclusion in the research of the model. Firstly, the patent information disclosed by the four standard establishment organizations (SSO) is collected, and the performance of the relevant technologies between the three generations before and after it is studied by the method of patent citation, and is not The comparison of the inter-generational standards. Then, the case study of the GSM international standard is carried out, from the evolution of the technical standard and the technical deflection. The case study fully demonstrates the two-way license pair technology The deflection of the cluster. So far, the research hypothesis and main study in the model research The theory has been proved. At the end of this study, it was established The standardization technology evaluation system is based on the previous research results, and simulates the evolution process of the standardization technology in the current large-scale SSO, and gives the basic steps and the application mode of the technical evaluation; and finally, the empirical data is imported into the model And an example analysis is completed. The simulation experiment is of great importance to the technical backers in the standardized implementation.
【學(xué)位授予單位】：中南大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：G307

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