A Thesis Submitted to Southwest University of Science and
Technology for the Degree of Master
（Master of Business Administration）
Research on Patent Strategy of W Company
Based on Third Generation Semiconductor
Devices
Candidate: Bin Wu
Supervisor: Jing Zhao; Keqin Yan
December 2021

摘要
欧美国家为了遏制我国半导体技术的发展，在第三代半导相关领域方面，对我国进行了几近
全面的技术和材料封锁，中美贸易冲突不断，中兴事件、华为事件无时无刻不在提醒着我们，没有
将核心技术牢牢地掌握自己手中，就不无法在科技强国的道路上大步向前。因此国家制定并颁布相
关政策，大力支持半导体产业发展，鼓励科研机构和企业单位立足自主创新。
本文首先介绍了课题的背景、目的及意义，通过收集国内外文献资料，对专利战略、核心竞争
力理论的研究现状有了一个清晰的认识，并对企业专利战略及专利战略布局的概念、特性、作用等
相关内容进行了阐述，认为专利战略是具有目的性和前瞻性的，其最终体现为策略性的灵活选择和
综合运用。介绍了资源基础理论、核心竞争力的基本概念、内涵和主要特征，核心竞争力的本质是
企业文化与企业的学习能力和创新能力相结合的产物，单从技术、企业资源、企业文化等任何一个
方面定义核心竞争力都是不完整的。
然后利用 patsnap专利数据库对第三代半导体器件相关专利进行查询，从总体情况、技术领域、
申请机构及重点专利等几个方面分析了全球范围内第三代半导体器件的相关专利；对国内相关专利
的情况进行了调研和分析，从申请趋势、主要技术分支、主要发明人、专利价值等几方面分析了 W
公司目前专利情况；并对 W公司第三代半导体器件专利战略定位和问题进行了深入分析。
最后结合 SWOT分析结果、核心竞争力的关系、W公司的发展目标等三个方面，分别阐述了
选择混合型专利战略的过程和内容，并对专利战略的实施和保障提出了一些建议，以促进专利战略
能够顺利进行。
本文运用专利战略理论，研究制定了有利于 W公司发掘专有核心技术、抢占优势地位的“混
合型专利战略”，丰富了专利战略的理论方法与新的应用实践。对其他类似的科技型企事业单位制
定适合自身发展的专利战略，具有一定的理论指导意义和实践借鉴参考价值。
关键词：第三代半导体器件；专利战略；核心竞争力
论文类型：专题研究

ABSTRACT
ABSTRACT
In order to curb the development of China’s semiconductor technology, European and American countries
have imposed a nearly comprehensive technical and material blockade on China in the third-generation
semiconductor related fields. The threat of worsening trade conflict with the US, as well as ZTE Event and
Huawei Event all confirmed that, China can become a technically powerful nation only by grasping the core
technology. To encourage independent innovation and development of semiconductor industry, the state
has established and promulgated a number of related policies.
This paper first introduced the background, purpose and significance of the project, provided a clear
understanding of the basic concepts and research status of patent strategy and core competitiveness theory
by collecting and studying all the information at home and abroad, meanwhile, stated the concept,
characteristics and functions of enterprise patent strategy and patent strategy plan, and held that patent
strategy is purposeful and prospective, which is finally resulted in strategically flexibility and
comprehensive application. This paper introduced the resource-based theory, the basic concept, connotation
and main characteristics of resource-based theory and core competitiveness. The essence of core
competitiveness is the product of the combination of corporate culture with the learning ability and
innovation abilities. It is incomplete to define core competitiveness only from any aspect such as technology,
enterprise resources and corporate culture.
Secondly, searched the related global patents of third-generation semiconductor devices from patent
database patsnap, and analyzed the related patents from the aspects of general situation, technical fields,
application institutions and key patents; Conducted investigation and analysis on domestic related patent,
analyzed the current patent situation of W company from the aspects of application trend, main technical
branch, main inventor, patent value, etc.; next, conducted an in-depth analysis of the patent strategic
positioning and problems of the third-generation semiconductor device for W company.
Finally, hold that W company should be suitable for adopting hybrid patent strategy，this paper combined
with the SWOT analysis results, the relationship between core competitiveness and the development
objectives of W company, further, put forward suggestions on the patent strategy, aims to ensure the smooth
implementation of the patent strategy.
Patent strategy theory is used in this paper, studies and develops a "Mixed patent strategy" which is in
accordance with the reality of W Company, is beneficial to explore proprietary core technology and seize a
dominant position, enriches the theoretical methods and new application practices of patent strategy. It is of
great theoretical significance, practical reference value to formulate patent strategies suitable for the
development of other similar science and technology company.
KEY WORDS: Third generation semiconductor devices; Patent strategy; Core competitiveness
TYPE OF THESIS: Monographic Research
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