基于品牌创新的企业知识产权战略及其运用研究

Study on Strategy and Application for Enterprises’ Intellectual Property Based on Brand Innovation

作者: 专业:技术经济及管理 导师:魏纪林 年度:2008 学位:博士 

关键词
品牌创新 自主品牌 自主知识产权 企业知识产权战略 知识产权优势

Keywords
Brand innovation, Independent brands, Independent IP rights, Enterprise IP strategy, IP advantage
        在国家制定和实施知识产权战略的大背景下,论文第一章提出作为创新主体的企业应当结合自身实际制定和实施企业知识产权战略。开篇指出,本论文将以品牌创新为切入点,以市场占有为归宿点,改变以往研究企业知识产权战略的重点和取向,为企业实现技术优势和知识优势能够转变为品牌优势和市场优势提供决策咨询方案。在介绍国内外品牌创新理论以及企业知识产权战略理论的研究现状后,本文指出,在现有的研究文献中很少有文章将知识产权与品牌联系起来,而将品牌创新与企业知识产权战略结合起来研究尚为空白。通过运用定性与定量相结合的思路与方法、比较研究与综合分析相结合的方法以及理论研究与实证研究相结合的思路与方法,本文力图构建基于品牌创新的企业知识产权战略模式,通过实施知识产权战略去创品牌、创市场和创效益,使“贴牌生产”和“加工经济”转变为“品牌生产”和“创新经济”,以期为我国企业谋得更为有利的生存与发展空间。第二章在基于品牌创新的企业知识产权战略的理论分析中,着重介绍了自主知识产权理论、企业品牌创新理论和企业知识产权战略理论,揭示了企业品牌创新与企业知识产权战略的内在关系,提出了品牌评估模型,研究了基于品牌创新的企业知识产权战略的内涵、特征、目标、要素、重点及战略步骤。第三章阐述了美国、日本和韩国的品牌创新与企业知识产权战略具体运用。美国的企业知识产权战略包括事实标准战略等十大战略。日本的企业知识产权战略包括技术专利化战略等七大战略。韩国的企业知识产权战略包括技术引进战略等四大战略。美日韩三国企业知识产权战略不同之处在于:企业知识产权战略的模式不同、企业专利战略的侧重点不同、企业专利的质量和数量不同、企业专利和技术研发的R&D资源不同、企业知识产权组织机构不同。论文分别介绍了美日韩三国国家知识产权战略。论文认为要把知识产权制度与市场、贸易、品牌结合起来,加强知识产权立法工作、建立有利于科技创新及其产业化的科技管理体制和专利管理体制、提高企业知识产权的创造、保护和运用能力、建立一支具有自主知识产权技术标准创新能力的研发团队以及灵活运用国际规则。论文认为要把智力成果的创造、保护、应用与企业创品牌、创市场、创效益结合起来。论文认为要将企业技术优势和知识优势转化为品牌优势和市场优势,促成技术、品牌与市场三者之间的有机协调和彼此互动的成熟模式。论文对这三个国家的国家知识产权战略、企业知识产权战略进行了横向比较研究及其借鉴研究,这是本文的重点,也是本文的创新之处。第四章分析论证了品牌创新与企业知识产权战略的主要外部环境和内部条件。第五章是本文的重要部分。在专利层面,提出了7个战略,即公知公用专利技术的使用战略、取消专利权战略、产品未到专利先行战略、专利网战略、专利收买战略、专利公开战略、官产学研金合作战略。在商标层面,提出了3个战略,即驰名商标战略、地理标志品牌战略、专利与商标协同战略。在标准层面,介绍了标准概念及分类、标准的功能,分析了标准的产权效应,提出了企业标准五步走战略。第六章也是本文的重要部分。论文提出了企业知识产权战略因素分析模型,分析了商标、驰名商标、国际名牌、标准、专利以及研究开发经费对于企业经济效率增长的作用。论文利用索洛型生产函数,提出了企业知识产权对于企业经济增长贡献度数理模型,并构建了企业知识产权战略管理绩效综合评价模型(包括5个一级指标和14个二级指标)。通过科学测评,本文认为东风汽车有限公司知识产权战略管理绩效水平处于中等。第七章将理论与实践相结合,实证剖析了海尔集团的基于品牌创新的企业知识产权战略,包括:海尔品牌创新战略、海尔专利战略、海尔标准战略、海尔的专利与标准预警机制以及基于知识产权底蕴的企业国际化战略。第八章对全文进行了总结,提出了本文的创新点和研究方向。
    Considering the formulation and implementation of national intellectual property(IP) strategy, the first chapter holds that enterprise-oriented technologic innovation model should combine their actual conditions with formulation and implementation of IP strategy for enterprises. Beginning with the brand innovation and ending with market share instead of the old research emphasis as well as research direction, the dissertation aims to provide a set of valuable decision-making scheme for enterprises to change technological advantage and knowledge advantage into the brand and market advantage, which will contribute to the building of theories about independent brand and independent IP. After introducing a series of theories at home and abroad including the brand innovation theory, the theory on IP strategy for enterprises, the dissertation points out that few articles try to combine IP with brands. The integrated study on brand innovation and IP strategy for the enterprise is still zero in present research materials. Adopting the use of qualitative and quantitative methods, the application of comparative study with the comprehensive analysis methods as well as the combination of empirical and theoretical research methods, the dissertation seeks to make the model of IP strategy for the enterprise based on the brand innovation so as to implement IP strategy for the brand, the market and the benefit, and transform the "OEM" and "processing economy" into "brand production" and "innovation economy" with a view to enabling more Chinese enterprises to obtain the space of the survival and development.In the theoretical analysis of IP strategy for the enterprise based on the brand innovation, the second chapter introduces emphatically the independent IP theory, the enterprise brand innovation theory and IP strategy theory for enterprises. What’s more, the dissertation probles into the intrinsic relations between the enterprise brand innovation and the enterprise IP strategy and puts forward the brand evaluation model. Finally the dissertation studies connotation, the characteristic, the goal, the essential factor, key and the strategic step of IP strategy for enterprises based on the brand innovation.The third chapter elaborates specific use of strategy of brand innovation and IP for enterprises concerning the United States, Japan and South Korea. As far as America’ brand innovation and IP strategies for enterprises are concerned, they includ such ten strategies as de facto standard strategy, the same race patent strategy, invalid patent strategy, etc. As for Japan’s brand innovation and enterprise IP strategies, they includ the technology-patent strategy, the strategy of patent arrangement in advance, etc. As far as South Korea’s brand innovation and enterprise IP strategy are concerned, they includ importing technologic strategy, the patent strategy, etc. The difference between the United States, Japan and South Korea on enterprise IP strategy is: the different modes on the enterprise IP strategy, the different focus of the patent strategy, etc. The dissertation introduces national IP strategies made by the above nations. In the following research, the five proposals are given. The dissertation holds that the creation, protection and application of intellectual products in combination with the brand, market as well as efficiency should be made in enterprises nowadays. The dissertation tries to formulate the specific coordination mechanism and interactive mode between technology, brand and market in enterprises in order to turn the enterprise technologic advantage and knowledge advantage into brand and market advantage. The dissertation makes the comparative study of the national IP strategy and enterprise IP strategy among these three countries, which is the focus and the innovation of this dissertation.The fourth chanpter analyzes the major external environment and internal conditions relative to brand innovation and IP strategy for enterprises. The main external environments includ the population environment and the natural environment, the market demand and market competition,etc. Major internal conditions include the profitability, the investment and enterprise IP, etc.The fifth chapter is an important part of this dissertation. The seven patent-related strategies and the three trademark-related strategies are given. In the parts of stanndard-related strategy the dissertation introduces the concept and the classification on standards as well as the standard features, analyzes the effect of property rights and puts forward a five-step strategy-related enterprise standard.The sixth chapter is also an important part of this dissertation. Presenting the factor analysis model of the enterprise IP strategy, the dissertation analyzes the function or mechanism in six fields such as the role of trademarks in the growth of enterprise economic efficiency, the role of well-known trademarks in the growth of enterprise economic efficiency, etc. With the help of Solomon production function, the dissertation proposes the mathematical model of the contribution degree to the economic growth from the enterprise IP. Based on the 5 first-level indexes and the 14 second-level ones, the comprehensive evaluation model on management performance of enterprise IP is established. Based on the scientific analysis, the dissertation holds that the level of IP management performance of Dongfeng Motor Co.,LTD belongs to the secondary one.By the combination of theory and practice the senenth chapter makes the empirical analysis of the Haier Group’s IP strategies such as the brand innovation strategy, the patent strategy, the standard strategy, the early-warning mechanism relation to both the patent and standard as well as the internationalization strategy.The eighth chapter makes a summary of the dissertation and points out new ideas and the future direction for research.
        

基于品牌创新的企业知识产权战略及其运用研究

摘要5-7
Abstract7-8
第1章 导论12-26
    1.1 问题的提出12-13
    1.2 选题的目的与意义13
        1.2.1 选题的目的13
        1.2.2 选题的意义13
    1.3 国内外研究现状13-24
        1.3.1 国内外品牌创新理论研究现状15-17
        1.3.2 企业知识产权战略理论研究现状17-23
        1.3.3 研究现状的评述23-24
    1.4 研究内容与方法24-26
        1.4.1 研究内容24
        1.4.2 研究方法与技术路线24-26
第2章 基于品牌创新的企业知识产权战略的理论分析26-62
    2.1 基于品牌创新的企业知识产权战略的理论基础26-46
        2.1.1 自主知识产权理论26-30
        2.1.2 企业品牌创新理论30-43
        2.1.3 企业知识产权战略理论43-46
    2.2 企业品牌创新与企业知识产权战略的内在关系46-49
    2.3 基于品牌创新的企业知识产权战略的内涵及其构成49-61
        2.3.1 基于品牌创新的企业知识产权战略的内涵49-50
        2.3.2 基于品牌创新的企业知识产权战略的特征50-51
        2.3.3 基于品牌创新的企业知识产权战略的目标51-52
        2.3.4 基于品牌创新的企业知识产权战略的要素52-57
        2.3.5 基于品牌创新的企业知识产权战略的重点57-59
        2.3.6 基于品牌创新的企业知识产权战略的步骤59-61
    本章小结61-62
第3章 国外品牌创新与企业知识产权战略的比较62-112
    3.1 美国的品牌创新与企业知识产权战略62-69
    3.2 日本的品牌创新与企业知识产权战略69-72
    3.3 韩国的品牌创新与企业知识产权战略72-76
    3.4 不同国家企业知识产权战略模式的比较76-91
        3.4.1 美日韩三国企业知识产权战略比较76-84
        3.4.2 美日韩三国国家知识产权战略比较84-91
    3.5 美日韩知识产权战略借鉴研究91-110
        3.5.1 知识产权制度与市场贸易品牌相结合91-103
        3.5.2 智力成果的创造保护和应用与企业创品牌创市场创效益相结合103-108
        3.5.3 企业特有的技术品牌与市场的协调机制和互动模式108-110
    本章小结110-112
第4章 品牌创新与企业知识产权战略的主要外部环境和内部条件112-134
    4.1 主要外部环境112-125
        4.1.1 人口环境与自然环境113-114
        4.1.2 市场需求与市场竞争114-117
        4.1.3 国家创新体系与政策法制环境117-125
    4.2 主要内部条件125-133
        4.2.1 盈利投入与企业知识产权125-127
        4.2.2 创新人才创新制度与企业技术资源127-130
        4.2.3 企业文化与企业家精神130-133
    本章小结133-134
第5章 基于品牌创新的企业知识产权战略内容及其运用134-176
    5.1 基于品牌创新的企业专利战略基本内容及其运用134-150
        5.1.1 公知公用专利技术的使用战略134-138
        5.1.2 取消专利权战略138-142
        5.1.3 产品未到专利先行战略142-143
        5.1.4 专利网战略143-145
        5.1.5 专利收买战略145-147
        5.1.6 专利公开战略147-148
        5.1.7 官产学研金合作战略148-150
    5.2 基于品牌创新的企业商标战略基本内容及其运用150-166
        5.2.1 驰名商标战略150-155
        5.2.2 地理标志品牌战略155-165
        5.2.3 专利与商标协同战略165-166
    5.3 基于品牌创新的企业标准战略基本内容及其运用166-175
        5.3.1 标准概念及分类166-167
        5.3.2 标准的功能167-168
        5.3.3 标准的产权效应168-170
        5.3.4 企业标准五步走战略170-175
    本章小结175-176
第6章 基于品牌创新的企业知识产权战略绩效评价176-185
    6.1 企业知识产权战略因素分析模型176-178
    6.2 企业知识产权对企业经济增长贡献度数理模型178-179
    6.3 企业知识产权战略管理绩效综合评价模型构建179-184
        6.3.1 企业知识产权战略管理绩效综合评价指标体系179-182
        6.3.2 企业知识产权管理绩效模糊综合评价182-184
    本章小结184-185
第7章 基于品牌创新的企业知识产权战略的实证分析185-191
    7.1 海尔品牌创新战略185-187
    7.2 海尔专利战略187-188
    7.3 海尔标准战略188-189
    7.4 基于知识产权底蕴的企业国际化战略189-190
    本章小结190-191
第8章 全文总结与研究展望191-195
    8.1 全文总结191-192
    8.2 本文的创新点192-193
    8.3 研究展望193-195
参考文献195-204
致谢204-205
攻读博士学位期间发表的论文205


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