出口贸易中的专利权风险研究-国际贸易学专业论文.docx

Classified Index: F741.2 U.D.C: 339.45 Dissertation for the Master Degree in Economics RESEARCH ON PATENT RISK OF EXPORT TRADE Candidate： Fan Yunhong Supervisor： Wang Jiuyun 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 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 Abstract With the advent of knowledge economy and increased market competition, intellectual property rights, especially patent rights is becoming increasingly important in the enterprises. Patent rights are not only an important intangible asset of enterprises, but also an important source of social wealth. However, in the context of the financial crisis, the international market of competition is increasing. There are more frequent patent disputes for Chinese enterprises and enterprises inevitably face risks in the export when they use patent rights. Therefore, studying how to prevent patent risk in the export trade is very important and far-reaching significance to reduce patent disputes in the export trade or to seek further development of export enterprises. First of all, this paper 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 then this paper presents a comprehensive and systematic review of related do