出口贸易中专利权风险研究.pdf

Classified Index: : Dissertation for the Master Degree in Economics RESEARCH ON PATENT RISK OF EXPORT TRADE Candidate: Fan Yunhong Supervisor: WangJiuyun Academic Degree Applied for: Master of Economics Speciality: International Trade Affiliation: School of Management Date of Defence: June,2010 Degree-Conferring-Institution:Harbin Institute of Technology 哈尔滨工业大学经济学硕士学位论文 I 摘要随着知识经济的到来和市场竞争的加剧,知识产权尤其是专利权在企业中的地位越来越重要,它不仅成为企业的一项重要的无形资产,更是社会财富的重要来源。然而,在金融危机的背景下,国际市场上的竞争愈来愈激烈,针对我国企业的专利权纠纷日趋频繁,出口企业在利用专利权的过程中不可避免地要面临专利权风险。因此,研究如何防范出口贸易中的专利权风险问题,无论是对减少出口贸易中的专利权纠纷,还是对出口企业谋求进一步发展都具有非常重要的、深远的意义。本文首先分析了出口贸易中专利权风险的背景与研究出口贸易中专利权风险的理论意义和实践意义;随后,对国内外现有的相关研究文献做全面、系统的研究,从而确定本文的研究方向与研究方法。文章基于新制度经济学的产权理论,从知识的外部性的角度出发,分析了专利权外部性引发专利权风险的必然性,归纳并总结了出口贸易中的专利权风险产生的影响。利用完全信息动态博弈模型与完全信息静态监督博弈模型,指出了出口贸易中专利权风险的触发条件。通过研究出口贸易中一个典型专利权纠纷案例,分析了其存在的专利权风险,并从该专利权纠纷的处理中的得到了相关的启示,为提出防范出口贸易中专利权风险的对策建议提供了理论依据。最后分别在政府、行业协会以及出口企业三层面提出了防范出口贸易中专利权风险的对策建议。关键词:专利权风险;出口贸易;博弈分析哈尔滨工业大学经济学硕士学位论文 II Abstract With the advent of knowledge economy and increased market competition, intellectual property rights, especially patent rights is ing increasingly important in the enterprises. Patent rights are not only an important intangible asset of enterprises, but alsoan important source of social wealth. However, in the context of the financial crisis, the international market petition is increasing. There are more frequent patent disputesfor Chinese enterprises and enterprises inevitably face risksin the export when they use patent rights. Therefore, studying how to prevent patent riskin the export trade is very important and far-reaching significance to reducepatent disputesinthe export trade or to seek further development of export enterprises. First of all, thispaper analyzes the background of patent risks of export trade, and the theoretical and practical significance of research on patent risk of the export trade, and