孙威威 吕彬偲 康小丽 张峥

摘 要：我国专利运营策略与标准化策略尚处于起步阶段，面对“专利丛林”和专利标准化技术貿易壁垒，如何制定合理策略对行业发展有着战略意义。基于演化博弈论建模分析和仿真，行业内多个企业之间存在博弈情况下，探究标准化与专利策略对技术创新扩散的影响。研究发现：标准化通过技术性贸易壁垒影响技术创新扩散的潜在市场，潜在市场收益是影响标准化与专利组合策略的关键因素，掌握领先技术专利的新兴技术企业对技术创新扩散起着主导作用，在新兴技术未对传统技术具备压倒性领先优势的情况下，专利费对行业内企业采纳创新技术、实现技术创新扩散起到关键作用。传统技术企业和新兴技术企业收益和决策均受到潜在市场收益、采纳者数量、专利费用等因素综合影响，并处于非线性动态变化过程。研究结论：为推进有利于技术创新扩散的演化稳定策略，新兴技术企业应综合考虑标准化对潜在市场的影响、专利收费对技术采纳者的影响、采纳者之间的技术和市场竞争演变分析。政策应推动扩大新兴技术市场规模，降低新兴技术创新扩散壁垒，补偿新兴技术企业技术创新扩散外部性，防止标准必要专利挟持，推进技术创新扩散。

关键词：标准化;标准必要专利;技术创新;演化博弈;技术创新扩散

中图分类号： F 224.32

文献标识码：A   文章编号：1672-7312（2021）05-0527-09

The Evolutionary Game of Technology Innovation Diffusion

Based on Standardization and Patent Strategy

SUN Weiwei1，LU Bincai2，KANG Xiaoli2，ZHANG Zheng1

（1.Business School，University of Shanghai for Science and Technology，Shanghai 200093，China;

2.SGS-CSTC Standards Technical Services （Shanghai） Co.，Ltd.，Shanghai 201612，China）

Abstract：The patent commercialization and standardization strategy of China is at beginning development stage.Under the challenges of patent thickets and patent standardization technical trade barriers，how to formulate technical standardization and patent strategy plays significant roles in the industry development.Under multiple technical companies competition game scenario，the evolutionary game theory was used to analysis the strategy impacts on innovation diffusion.The study showed that：standardization impacts on potential market through technical trade barrier，the potential market margin is the key factor of the strategy effect，the emerging technology company with leading patents plays significant roles in the technical innovation diffusion，and the patent cost is the key factor of technical adoption and diffusion when the emerging technology has no dominant advantages.The strategy and pay-off were impacted by potential market margin，adoption companies amount and patent cost，with non-linear dynamic change.In conclusion，the emerging technology company shall taken into account the above factors and relationship among them，policy makers shall promote the technology market incremental size and lower technical trade barrier to facilitate technology innovation diffusion.

Key words：standardization;standard essential patent;technology innovation;evolutionary game theory;technical innovation diffusion

0 引言

随着科技与标准的日益融合，未来的竞争优势越来越依附于技术标准和知识产权方面的话语权[1]，企业间竞争的核心已经从产品竞争、服务竞争和品牌竞争转向技术标准和专利的竞争[2]。……