随着国家对知识产权工作重视程度的加深，一系列有关知识产权发展的战略 部署文件也相继发布，让各区域认识到当前自身知识产权创造和运用的效率现 状，有助于各区域有针对性地制定本区域的知识产权政策，提升本区域知识产权 创造和运用的能力和效率。 本文从专利和商标两方面来评价知识产权创造运用效率。在专利相关方面， 从行政区域的视角，构建了效率评价的指标体系，运用阿尔蒙模型，将区域专利 创造和运用两个阶段测算出合理的滞后期，运用DEA模型将中国30个省市的专 利创造及运用效率进行分析，进而比较了经济圈层面的专利创造和运用效率。然 后结合京津冀地区的实际情况，将评价结果运用于京津冀地区的具体实践当中， 理论与实际相结合。在商标相关方面，开创性的构建了商标创造运用效率的逻辑 框架，建立了效率评价的指标体系，并分析了商标在创造和运用阶段，投入产出 指标之间滞后期。 效率的高低受到投入产出比例、数量、政策效应等多方因素的影响，区域所 要达到的目标是资源的高效利用与合理配置。通过对区域知识产权创造运用效率 的测算，既可以让各区域找到自身的短板所在，改善投入产出中出现的问题，也 可以为政府制定宏观政策提供决策参考，促进区域间的联合发展。 关键词：知识产权创造运用效率，DEA，阿尔蒙滞后模型 III ABSTRACT As the state attaches more importance to intellectual property work, a series of strategic documents on intellectual property development have also been released, allowing regions to recognize the current status of their own intellectual property creation and application efficiency, will help each region to develop intellectual property policies, and enhance intellectual property creation and application capacity and efficiency. This paper evaluates the efficiency of intellectual property creation and application from both patents and trademarks. In terms of patents, from the perspective of administrative regions, constructing indicator system for efficiency evaluation, using the Almon model, calculate a reasonable lag period of patent creation and application, use the DEA model to analysis the creation and application efficiency of 30 provinces, then compare the patent creation and application efficiency at the economic circle level. Combined with the actual situation of the Beijing, Tianjin ang Hebei, applying the evaluation results to the Beijing, Tianjin and Hebei, combining theory with practice. In terms of trademarks, the logical framework of trademark creation and application efficiency was constructed in a pioneering manner, then established an indicator system for efficiency evaluation and analyzed the lag period between the input and output indicators in the stage of creation and application. The efficiency is affected by many factors such as the proportion，quantity and policy effects of input and output, the goal of the region is to achieve efficient use and rational allocation of resources. Through the calculation of the creation and application efficiency of regions, can not only let regions find the shortcomings of themselves, solve the problems in input and output, but also provide decision-making reference for the government to formulate macroeconomic policies and promote joint development among regions. KEY WORDS: Intellectual property creation and application efficiency, DEA, Almon lag model V 目 录 第1章 绪论 .................................................................................................................. 1 1.1 研究背景 .......................................................................................................... 1 1.2 研究思路和方法 .............................................................................................. 2 1.2.1 研究思路 ................................................................................................ 2 1.2.2 研究方法 ................................................................................................ 3 1.3 研究技术路线图 .............................................................................................. 4 1.4 研究意义 .......................................................................................................... 6 1.5 本文创新点 ...................................................................................................... 6 第2章 核心概念与国内外研究综述 .......................................................................... 9 2.1 核心概念 .......................................................................................................... 9 2.1.1 知识产权相关概念 ................................................................................ 9 2.1.2 知识产权创造运用效率 ...................................................................... 10 2.1.3 区域范畴界定 ...................................................................................... 11 2.2 国内外研究综述 ............................................................................................ 11 2.2.1 知识产权创造运用效率研究综述 ...................................................... 11 2.2.2 评价指标研究综述 .............................................................................. 13 2.2.3 研究方法综述 ...................................................................................... 13 2.2.4 滞后性研究综述 .................................................................................. 15 第3章 区域专利创造运用效率的指标构建及滞后性测算 ................................... 17 3.1 区域专利创造运用效率的指标构建 ............................................................ 17 3.1.1 指标体系的构建原则 .......................................................................... 17 3.1.2 指标体系的初步整理 .......................................................................... 18 3.1.3 指标体系的最终确定 .......................................................................... 19 3.2 阿尔蒙滞后性测算 ........................................................................................ 20 3.2.1 阿尔蒙滞后模型建立 .......................................................................... 20 3.2.2 数据来源 .............................................................................................. 22 3.2.3 平稳性分析 .......................................................................................... 22 3.2.4 专利创造阶段的滞后期测算 .............................................................. 23 3.2.5 专利运用阶段的滞后期测算 .............................................................. 25 第4章 区域专利创造及运用的相对效率分析 ....................................................... 27 4.1 省际相对效率分析 ........................................................................................ 27 4.1.1 DEA模型建立 ...................................................................................... 27 VI 4.1.2 数据来源 .............................................................................................. 28 4.1.3 省际相对效率的测算与分析 .............................................................. 29 4.1.4 省际相对效率的空间分布 .................................................................. 31 4.2 区域相对效率的推广——经济圈效率分析 ................................................ 33 4.2.1 三大经济圈的相对效率测算 .............................................................. 34 4.2.2 京津冀地区的效率现状及提升对策 .................................................. 36 第5章 区域商标创造及运用效率评价构念 ........................................................... 41 5.1 区域商标创造运用效率的指标构建 ............................................................ 41 5.1.1 商标创造运用效率评价指标的构建思路 .......................................... 41 5.1.2 商标创造运用效率的指标体系 .......................................................... 41 5.1.3 指标诠释 .............................................................................................. 42 5.2 商标投入产出指标的滞后性分析 ................................................................ 44 5.2.1 商标创造阶段的滞后性分析 .............................................................. 44 5.2.2 商标运用阶段的滞后性分析 .............................................................. 44 第6章 结论与建议