技术标准联盟的本质：基于对R&D联盟和专利联盟的辨析

科研管理 ›› 2014, Vol. 35 ›› Issue (10): 49-56.

技术标准联盟的本质：基于对R&D联盟和专利联盟的辨析

李薇^1,2

1. 重庆邮电大学经济管理学院, 重庆 400065;
2. 重庆大学经济与工商管理学院, 重庆 400030

收稿日期:2013-05-15 修回日期:2014-03-05 出版日期:2014-10-25 发布日期:2014-10-23
作者简介:李薇（1982.6-），女，河北人，重庆邮电大学副教授，重庆大学博士后，研究方向：战略联盟。
基金资助:
国家自然科学基金（编号：71202035；71172081）；中国博士后科学基金（编号：20110490803）。

Nature of standard-setting alliance: based on comparisons between R&D alliance and patent alliance

Li Wei^1,2

1. College of Economics and Management, Chongqing University of Posts and Telecommunications, Chongqing 400065, China;
2. School of Economics and Business Administration, Chongqing University, Chongqing 400030, China

Received:2013-05-15 Revised:2014-03-05 Online:2014-10-25 Published:2014-10-23

摘要/Abstract

摘要： 以文献研究为基础，对技术标准联盟以及另外两类极易与其混淆的联盟形式——R&D联盟和专利联盟——进行了比较分析，旨在揭示技术标准联盟的本质、根本特征、典型问题以及适合的研究模式。研究提出，技术标准联盟的本质是一种联盟组合，是往往同时涵盖技术研制与技术产业化两项功能的多组织联合体，一定程度上可以理解为是以R&D联盟和专利联盟为基础的联盟组合，因此，技术标准联盟与传统的R&D联盟和专利联盟既具有关联，但同时也存在差异。在进一步识别以上三种联盟的共性问题以及可以共享的研究模式之后，论文提出还需要从联盟组合/联盟网络角度来探索契合于技术标准联盟的专有研究模式。

关键词: 技术标准联盟, R&D联盟, 专利联盟, 联盟组合

Abstract: Based on literature analysis, standard-setting alliance is compared with other two confusing alliance formations - the R&D alliance and the patent alliance, in order to address the nature of standard-setting alliance as well as its critical features, typical problems and the proper ways to solve these problems. It is pointed out that the standard-setting alliance is an alliance portfolio by R&D alliance and patent alliance in the nature, since it always involves two functions simultaneously known as R&D function and production function. This means there are both similarities and differences between these three kinds of alliances. Based on this finding, the typical research questions which have shared research methods with R&D alliance and patent alliance are distinguished. And, we argue that proprietary research modes for standard-setting alliance's specific questions need to be explored from the aspects of alliance portfolio or network.

Key words: standard-setting alliance, R&D alliance, patent alliance, alliance portfolio

中图分类号:

C93-0

李薇. 技术标准联盟的本质：基于对R&D联盟和专利联盟的辨析[J]. 科研管理, 2014, 35(10): 49-56.

Li Wei. Nature of standard-setting alliance: based on comparisons between R&D alliance and patent alliance[J]. Science Research Management, 2014, 35(10): 49-56.

参考文献

[1] Axelrod R, Mitchell W, Thomas R E, et al. Coalition formation in standard-setting alliances[J]. Management science, 1995, 41(9): 1493-1508. [2] Veugelers R. Collaboration in R&D: An assessment of theoretical and empirical findings[J]. De Economist, 1998, 146(3):419-443. [3] Clark J, Critharis M, Kunin S. Patent pools: A solution to the problem of access in biotechnology patents?[M]. US Patent and Trademark Office, 2000. [4] Quintana-Garcia C, Benavides-Velasco C A. Cooperation, competition, and innovative capability: A panel data of European dedicated biotechnology firms[J]. Technovation, 2004, 24(12): 927-938. [5] Motohashi K. Growing R&D Collaboration of Japanese Firms and Policy Implications for Reforming the National Innovation System[J]. Asia Pacific Business Review, 2008, 14(3): 339-361. [6] Ponds R, Van Oort F, Frenken K. Innovation, spillovers and university industry collaboration: An extended knowledge production function approach[J]. Journal of Economic Geography, 2010, 10(2): 231-255. [7] Kesavayuth D, Zikos V. Upstream and downstream horizontal R&D networks [J]. Economic Modelling, 2012, 29(3):742-750. [8] De Man A P, Duysters G. Collaboration and innovation: A review of the effects of mergers, acquisitions and alliances on innovation[J]. Technovation, 2005, 25(12): 1377-1387. [9] Mansfield E. How rapidly does new industrial technology leak out?[J]. The Journal of Industrial Economics, 1985, 2: 217-223. [10] De Bondt R, Veugelers R. Strategic investment with spillovers[J]. European Journal of Political Economy, 1991, 7(3): 345-366. [11] Kamien M I, Zang I. Meet me halfway: Research joint ventures and absorptive capacity[J]. International Journal of Industrial Organization, 2000, 18(7): 995-1012. [12] Mora-Valentin E M, Montoro-Sanchez A, Guerras-Martin L A. Determining factors in the success of R&D cooperative agreements between firms and research organizations[J]. Research Policy, 2004, 33(1): 17-40. [13] Kloyer M. Effective control rights in vertical R&D collaboration[J]. Managerial and Decision Economics, 2011, 32(7): 457-468. [14] Krishnan R, Martin X, Noorderhaven N G. When does trust matter to alliance performance?[J]. Academy of Management Journal, 2006, 49(5): 894-917. [15] Heimeriks K H, Duysters G. Alliance Capability as a Mediator Between Experience and Alliance Performance: An Empirical Investigation into the Alliance Capability Development Process[J]. Journal of Management Studies, 2007, 44(1): 25-49. [16] Hoang H, Rothaermel F T. The effect of general and partner-specific alliance experience on joint R&D project performance[J]. Academy of Management Journal, 2005, 48(2): 332-345. [17] Lin C, Wu Y J, Chang C C, et al. The alliance innovation performance of R&D alliances-the absorptive capacity perspective[J]. Technovation, 2012, 32(5): 282-292. [18] Zhang J, Baden-Fuller C, Mangematin V. Technological knowledge base, R&D organization structure and alliance formation: Evidence from the biopharmaceutical industry[J]. Research policy, 2007, 36(4): 515-528. [19] Langinier C. Patent Pool Formation and Scope of Patents[J]. Economic Inquiry, 2011, 49(4): 1070-1082. [20] L v que F, M ni re Y. Patent pool formation: Timing matters[J]. Information Economics and Policy, 2011, 23(3): 243-251. [21] Layne-Farrar A, Lerner J. To join or not to join: Examining patent pool participation and rent sharing rules[J]. International Journal of Industrial Organization, 2011, 29(2): 294-303. [22] Shapiro C, Lemley M. Patent Holdup and Royalty Stacking[J]. Texas Law Review, 2007, 85:1991-2015. [23] Peters R. One-Blue: A blueprint for patent pools in high-tech[J]. Intellectual Asset Management, 2011, 9:38-41. [24] Grassler F, Capria M A. Patent pooling: Uncorking a technology transfer bottleneck and creating value in the biomedical research field[J]. Journal of Commercial Biotechnology, 2003, 9(2): 111-118. [25] Kato A. Patent pool enhances market competition[J]. International Review of Law and Economics, 2004, 24(2): 255-268. [26] Aoki R, Nagaoka S. The consortium standard and patent pools[J]. The Economic Review, 2004, 55(4): 345-356. [27] Joshi A M, Nerkar A. When do strategic alliances inhibit innovation by firms? Evidence from patent pools in the global optical disc industry[J]. Strategic Management Journal, 2011, 32(11): 1139-1160. [28] Lampe R, Moser P. Patent pools: Licensing strategies in the absence of regulation[J]. Advances in Strategic Management, 2012, 29:69-86. [29] Hemphill T A. Cooperative strategy and technology standards-setting: A study of U.S. Wireless telecommunications Industry standards development [D]. The George Washington University, 2005. [30] Andrevski G, Brass D J, Ferrier W J. Alliance Portfolio Configurations and Competitive Action Frequency[J]. Journal of Management, 2013, 8:1-27. [31] Phelps C C. A longitudinal study of the influence of alliance network structure and composition on firm exploratory innovation[J]. Academy of Management Journal, 2010, 53(4): 890-913. [32] Gilbert R J. Antitrust for patent pools: A century of policy evolution[J]. Stanford Technology Law Review, 2004, 3:1-30. [33] Guidice R M, Vasudevan A, Duysters G. From "me against you" to "us against them": Alliance formation based on inter-alliance rivalry[J]. Scandinavian Journal of Management, 2003, 19(2): 135-152. [34] Gudmundsson S V, Lechner C. Multilateral airline alliances: Balancing strategic constraints and opportunities[J]. Journal of Air Transport Management, 2006, 12(3): 153-158.