专利制度下的市场进入壁垒分析

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浙江财经学院硕士学位论文

摘要

一直以来，专利制度以知识的专有垄断性来保证私人报酬与社会报酬相一致

并促进创新。但专利制度本身也有缺点，由于这种专有垄断性，申请或获得专利

的在位厂商在保护期间内拥有知识（技术）的独占权和排他权，可以将潜在竞争

者排除在产业外，或以相对潜在竞争者索取更高的价格或以更低的成本生产，并

获取垄断利润。这种进入壁垒的存在会影响市场竞争程度，进而影响市场的有效

运行。在目前我国大力推进自主创新的强国战略之际，专利制度激励技术创新、

鼓励技术扩散的作用得到一致认可，而实际操作和理论研究中往往忽视了制度本

身是用市场垄断权来保证创新作用的实现，会形成进入壁垒，最终将降低创新能

力，危害产业创新能力的提高和产业结构的调整。因此，深入认识专利制度下的

市场进入壁垒及其对我国各产业市场结构的影响就是一个非常重要的理论课题，

同时也是国家层面制度改进和企业层面决策制订必须面对的现实挑战。

研究专利制度下的市场进入壁垒主要有两个难点，一是在专利制度的制度约

束下，市场进入壁垒具有不同于其他结构性进入壁垒和战略性壁垒的特点，并由

此导致其作用方式的差异性和复杂性，因而目前缺乏系统的理论分析；二是考虑

制度因素后，如何实际测算进入壁垒在我国产业中的强度和作用范围。这是我国

政府改进专利制度和企业选择专利战略要解决的实际问题。

因此，本文从进入壁垒和专利制度的理论梳理入手，把专利制度下的市场进

入壁垒理解为一种厂商利用政府法律制度构筑壁垒的市场现象。这种现象具有强

排他性、公开性和时效性三个特点，形成的垄断可以概括为一种短期的开放性的

动态垄断。而且排斥潜在竞争对手的作用最终通过三种形式表现出来，其中标准

障碍是其特有的形式。由此可以看出，专利制度下的市场进入壁垒既不完全等同

于结构性进入壁垒，也不完全等同于战略性进入壁垒。从表面看，似乎和许可证

制度等制度造成的结构性壁垒接近，但是从其作用的机理来分析，更趋向是一种

战略性进入壁垒。

由于专利制度下市场进入壁垒的特殊性，本文实证部分首先分阶段逐步地测

算了我国各产业进入壁垒的高度，发现大部分产业是处于竞争充分的状态，有一

些产业出现过度进入，另一些产业则属于政府管制产业。那么，所有的产业是否

浙江财经学院硕士学位论文

都受到专利制度的影响，同时从数据上显示充分竞争以及过度进入的产业中是否

就能排除专利制度下市场进入壁垒呢？本文剔除了政府管制产业的数据，进一步

构建了 29 个产业 9年数据的面板模型，得到以下主要结论：（1）专利制度下的市

场进入壁垒是存在的，而且专利授予造成的壁垒强于专利申请造成的壁垒；（2）

专利申请期和公开制度促进了产业内竞争。当产业内专利申请集中在实用新型和

外观设计领域时，该产业进入壁垒会降低，企业进入数量会在专利申请期后增加；

（3）目前存在过度进入的产业不是由专利制度不完善造成的。

在对策和建议部分，本文从两个角度出发，首先从公共政策方面，在肯定我

国专利制度运行良好的基础上，尝试从产业特性和我国产业现状出发，提出改进

专利制度、制订反国际专利垄断的国家专利战略、繁荣专利交易市场等完善我国

专利运作制度的建议。在企业行为方面，希望企业能重视专利策略、积极参与国

际专利竞争，从而提升产业技术能力，促进产业整体创新能力的提升。

关键词：市场进入壁垒；垄断；专利制度；面板模型

浙江财经学院硕士学位论文

III

ABSTRACT

For a long time, the institution featuring the consistency between private return

and social return and the promotion of innovation are guaranteed by exclusive

monopoly of knowledge in patent institution. However, the patent institution has its

own deficiency. Due to such exclusive monopoly, manufacturers which have patents or

patents pending boast exclusive and monopolized rights over the knowledge

(technology) during the period of patent protection, so that potential competitors are

excluded from the industry, or patent holders charge excessively on potential

competitors or produce at lower cost, thus obtaining monopoly profit. The existence of

such entry barrier will affect the degree of market competition and further influence

effective operation of market. At the time when China rigorously advocates the

nation-vitalization strategy of self-innovation, the role of patent institution in

stimulating technological innovation and encouraging technical proliferation is

extensively accepted, while practices and theories often omit that the patent institution

itself guarantees the realization of innovation by market monopoly, thus constituting

entry barrier and affecting the improvement of industry innovation and the adjustment

of industry structure. Therefore, in-depth knowledge of market entry barrier under the

patent institution and influence over each industrial structure is a very important

theoretical issue, which is critical to the improvement of institution at national level

and decision-making at enterprise level.

There are two difficulties in researching market entry barrier under the patent

institution: one is that under the restriction of patent institution, market entry barrier is

different from other structural entry barriers and strategic barrier, so that the way and

scope of its influence are affected, which can explain the insufficiency of institutionatic

analysis about such barrier; the second is that under the context of a institution how to

measure the strength and scope of influence of entry barrier on China’s industries is

vital to the improvement of patent institution by governments and the selection of

patent strategy by enterprises.

浙江财经学院硕士学位论文

Therefore, the article begins from the summary of theories about entry barrier and

patent institution, focusing on the market phenomenon where manufacturers make use

of legal institution to build barriers. Through analysis of three features namely strong

exclusiveness, openness and timeliness of such barrier in Chapter III, the article

summarizes that the monopoly formed by such barrier is a kind of short-term and open

dynamic monopoly, where its influence of excluding potential competitors is actually

expressed by three forms, especially by standard barrier form. Thus, market entry

barrier under the patent institution neither a structural barrier nor a strategic barrier. It

seems to be similar to the structural barrier caused by institutions such as license

institution, but from the perspective of the mechanism of its role-playing, it seems

more like a strategic entry barrier.

Because of specialty of market entry barrier under the patent institution, the

empirical analysis of the article, firstly, based on betterment of measures of entry

barrier, gradually calculates the length of entry barriers among various industries in

China, finding that most industries are in full competition, and some industries are

entered excessively or subject to entry barriers set by governments. Then, whether

those industries with entry barriers are affected by patent institution and those

industries which seem to be full of competition and excessively entered can be free

from market entry barrier under patent institution? The article rejects the data of

industries under governmental regulation, further constructs panel model of the data in

9 years among 29 industries, concluding that: market entry barrier under patent

institution exists indeed, and the barrier formed by patents granted is stronger than the

one caused by patent application; (2) the patent application period and the publicity

institution promote competition in an industry. When patent applications in an industry

are mainly new type and appearance design, the entry barrier of such industry will be

reduced, where enterprise entries will increase after the patent application period; (3)

the industries which are excessively entered are not caused by imperfection of the

patent institution.

With regard to suggestions, the article begins from two perspectives. First on

浙江财经学院硕士学位论文

public policy, while affirming the stable operation of China’s patent institution, it tries

to focus on properties of an industry and current status of China’s industries, raising

suggestions on betterment of the patent institution, formulation of national patent

strategy for resisting international patent monopoly and booming patent trading market.

From the perspective of enterprises’ behavior, enterprises are encouraged to focus on

patent strategy, actively participate in international patent competition so as to enhance

industrial technical capability and drive the improvement of overall innovation

capacity.

Key words: market entry barrier; monopoly; patent institution; panel model

浙江财经学院硕士学位论文

第一章绪论·················································································································· 1

第一节论文研究的背景及意义 ··············································································· 1

第二节国内外研究综述··························································································· 2

第三节论文研究的基本思路、方法和主要创新点·············································· 10

第二章进入壁垒理论与专利制度研究····································································· 12

第一节进入壁垒理论····························································································· 12

第二节专利制度····································································································· 18

第三章专利制度下市场进入壁垒特点及表现形式 ················································· 22

第一节专利制度下的市场进入壁垒特点 ····························································· 22

第二节专利制度下的市场进入壁垒表现形式······················································ 28

第四章专利制度下市场进入壁垒的实证分析 ························································· 38

第一节测算指标及定性分析 ················································································· 38

第二节样本数据选择····························································································· 41

第三节进入壁垒的测算························································································· 43

第四节产业水平的面板模型 ················································································· 49

第五章对策与建议 ···································································································· 55

第一节国家专利制度的改进 ················································································· 55

第二节企业专利策略的改进 ················································································· 58

参考文献······················································································································ 61

致谢······························································································································ 65

浙江财经学院硕士学位论文

第一章绪论

第一节论文研究的背景及意义

一直以来，专利制度都被视为鼓励创新的制度性保障。“一套鼓励技术变化、

提高创新的私人收益率，使之接近社会收益率的系统的激励制度，仅仅随着专利

制度的建立才被确定”（诺思，1991）。说明专利制度是一种以知识的专有垄断性

来保证私人报酬与社会报酬相一致的创新制度。但作为一种创新激励模式的专利

制度本身也有缺点，由于这种专有垄断性，使专利制度为获得技术的在位厂商构

筑了一道屏障，“这道屏障保护在位的卖者，而其他厂商在能够进入该领域参与竞

争之前，必须翻越这道屏障。”①这种对新厂商的阻隔机制是市场走向垄断结构的

重要基础。用产业组织理论的专用术语来说，这种阻隔机制可称为市场的“进入

壁垒“。进入壁垒会影响市场竞争程度，进而影响市场的有效运行，因此在产业

组织理论研究中，进入壁垒长期以来都是最重要的研究对象之一。在专利制度的

法律约束下，专利申请及授予厂商在保护期间内拥有技术（知识）的独占权和排

他权，可以将潜在竞争者排除在产业外，以相对潜在竞争者更高的价格销售或以

更低的成本生产，并获取垄断利润。显然，这也构成了一种进入壁垒，专利制度

为在位厂商运用垄断势力提供了条件，不仅仅扭曲了市场结构，而且在一定程度

上制约了企业创新的积极性，反而不利于产业创新能力的提高。

自从 1984 年中国专利法颁布实施以来，专利制度对我国经济活动特别是企业

创新行为的影响越来越大。现行的专利法历经 1992、2000 年两次修订，在专利保

护领域和期限、专利归属范围和贸易、专利使用的许诺制度等方面有了变革性的

进步，显著促进了企业发明创新的边际产出（叶静怡、宋芳，2007）。恰逢我国正

大力推进自主创新的强国战略之际，专利制度激励技术、鼓励技术扩散的作用得

到一致认可，而实际操作和理论研究中往往忽视了制度本身是用市场垄断权来保

证创新作用的实现，会形成进入壁垒，最终将降低创新能力，对产业水平的提高

和产业结构的调整反而是一种危害。

因此，研究专利制度下的进入壁垒的意义主要表现在两个方面。一是在专利

① Bain，Joe S．Industial Organization［M］．New York：John Wiley & Sons，1959：237．

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摘要：

浙江财经学院硕士学位论文I摘要一直以来，专利制度以知识的专有垄断性来保证私人报酬与社会报酬相一致并促进创新。但专利制度本身也有缺点，由于这种专有垄断性，申请或获得专利的在位厂商在保护期间内拥有知识（技术）的独占权和排他权，可以将潜在竞争者排除在产业外，或以相对潜在竞争者索取更高的价格或以更低的成本生产，并获取垄断利润。这种进入壁垒的存在会影响市场竞争程度，进而影响市场的有效运行。在目前我国大力推进自主创新的强国战略之际，专利制度激励技术创新、鼓励技术扩散的作用得到一致认可，而实际操作和理论研究中往往忽视了制度本身是用市场垄断权来保证创新作用的实现，会形成进入壁垒，最终将降低创新能力，危害产业创...

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