Multi-dimensional Effects Of Intellectual Property Policy

Intellectual property (IP) is a significant part of public policy, whose function is to maintain the just order of knowledge rights and the efficient goal of knowledge advancement. IP policy is established, implemented and promoted at the national level essentially. It guides and regulates the creation, ownership, use and management of knowledge resources by system configuration and policy arrangement. IP provides the creators the incentive to innovate economically and sustainably. It constantly moves forward the innovation activity to new heights, so as to promote the rapid growth of the advanced productive force hidden in the innovation. The IP system contains the important policy measures for innovation’s transformation, industrialization and marketing.China National Intellectual Property Strategy Outline has been promulgated and implemented recently, and it indicates the IP system’s entrance into a new stage of strategic initiative. Utilizing the IP system effectively, and making the efforts to narrow the gap with the developed countries is China IP policy’s new goal. Though the IP policy is to be adopted and executed continuously, the lack of government concern about the effects of policies and the lack of systematic theoretical reference to the policy effects, make the policy effect’s revision and improvement lag behind the real demand.This paper introduces a new paradigm of the policy process theory, in order to provide a clear and logical argumentation framework for the multi-dimensional effect of the IP policy. At the IP policy decision-making level, the paper uses the multiple streams model to interpret the implementation of the IP policy’s rationality effect; at the IP policy’s time level, a punctuated-equilibrium framework is presented to elaborate the control of the IP policy’s periodicity effect; under the IP policy’s space level, the policy diffusion framework is transplanted to argue the regulation of the IP policy’s externality effect; in the innovation panorama, this research simplifies the policy elements in the causal funnel model, by using the policy transaction cost tools and operational research evaluation, and then coordinates the different levels of IP policy to achieve the coupling of the multi-dimensional effects, which optimize the overall effect of the IP policy system.This dissertation is divided into seven chapters, organized as follows: The first chapter introduces the research background, the research goal and significance. It also illustrates the research methods, technical route and major innovation.The second chapter is the literature review and the theory discussion. It firstly reviews the domestic and overseas IP policy research status and deficiency; then it elaborates on the concept of the policy effect and the comparative analysis evaluation; it next focuses on the advantage and disadvantage of the stage heuristic in the traditional policy process theory; it finally demonstrates the formation of the new paradigm of the policy process and its reference value, after selecting several scientifically verifiable map analyses, the essentials for policy process, from which arise the policy scenario analysis, are applied to specific policy areas, so as to lay the solid theoretical foundation for the IP policy’s multi-dimensional effects in different levels.The third chapter discusses IP policy’s rationality effect at the decision-making level. It introduces the multiple streams model, analyzes the IP decision-making policy window empirically, and uses the group decision method to improve the inadequate participation; it mainly discusses IP system’s function limitations, which inspire the technology innovation and at the same time a loss of the consumer welfare, thereby coordinating the relationship between the technical monopoly and the anti-trust through depicting the benefits balance path of the decision-making target, and constructing the policy tool correspondingly, in order to implement the IP policy’s rationality effect; it delves into the particular game strategy scenario of the IP decision-making actors, analyzing the patent imitation economic model, in order to illuminate the subtle variation of IP policy’s rationality effect which may have far-reaching influences on the actors strategy, market competition status, technology innovation incentives and the allocation of resources.The fourth chapter demonstrates IP policy’s periodicity effect at the time level. It employs the punctuated-equilibrium framework to depict the policy track of the technology innovation, and analyzes the policy track’s periodic motion of defects, updates, endings and circulations, by using the policy cycle’s effect restricting rules; it argues IP policy’s periodicity effect, from the micro perspective of the patent holder model, as well as the macro-economics perspective of anti-cycle regulation; it makes an empirical study on the evolution of U.S. IP donation policy, for the sake of enlightening the China policy transplant and the retrospective analysis on IP policy cycle.Chapter V sets forth IP policy’s externality effect at the space level. It presents the policy diffusion framework, experiments with the gradient advancement of the regional policy innovation, and exerts IP policy’s spatial performance in industry transfer, so as to explore IP policy’s action in regional innovation; it enters on the concept of externality and the knowledge product’s externality, and analyzes IP policy’s externality effect through the extra-domain methodology, so as to transfer the benefit of regional policy supply; it utilizes the case study of the China IP rich regions’policy overflow effect, and then makes the spatial dimension effect of IP policy fall into a localization reality, in order to investigate the IP policy’s externality effect from the phenomenon to the implementation, then to the decision-making sample application.ChapterVI is a significant refining and distillation of chapters Ⅲ,Ⅳ, and Ⅴ to concentrate on the optimization of IP policy’s multi-dimensional effects in the innovation panorama. It analyzes the reference value of the policy causal funnel model, and applies the policy transaction cost to explain the IP transaction cost and the IP industrialization’s transaction cost curve, attempts to simplify the complicated policy elements, and reveal the innovative value of IP policy’s multi-dimensional effects from an economic sense, through the research path of IP policy transaction cost; it uses DEA analysis to process the technological innovation data based on China IP policy, and probes the multi-dimensional effects’actual performance in the innovation, by modeling the spatial distribution pattern and the time evolution mode; finally, it expounds the characteristics and realization of the multi-dimensional effects’ coupling which contains IP policy’s rationality effect, periodicity effect and externality effect, through the cooperation of the subsystem policy’s decision-making level, the time level and the space level, for the purpose of the application to the national IP strategy system’s overall effect optimization.Chapter VII is a summary as well as an outlook. It summarizes the major findings and conclusion of the dissertation, points out the deficiencies and limitations of this study, and based on the above two, gives some directions for further research.The innovations of this thesis are briefly summarized as follows:(1) The paper has a sharp focus on the IP policy effect. It presents the IP policy system as a dynamic dimensional complex system, and accordingly provides the policy practice with the measurement of IP policy multi-dimensional effects. (2) The research path of the IP policy effect is bold. It introduces a new paradigm of the policy process theory, and extracts the multi-system elements, dynamic period elements and the multi-dimensional elements, to analyze the structure and mechanism of IP policy process for the sake of demonstrating the IP policy’s multi-dimensional effects at different levels.(3) The theoretical explorations of IP policy’s multi-dimensional effects are new. It firstly puts forward IP policy’s rationality effect, and then the periodicity effect is set up. After establishing the externality effect, the coupling mechanism of IP policy’s multi-dimensional effects is originally found to make a breakthrough.(4) The empirical studies of IP policy’s multi-dimensional effects are novel. The first study makes the scenario analysis of the patent imitation game strategy. The second one puts the retrospective analysis on the evolution of U.S. IP donation policy. The third conducts the case research upon China IP rich regions’policy overflow effect. The fourth uses DEA analysis to process the technological innovation data based on China IP policy.The core placement and orientation of this research can be stated. First, perfect IP policy’s rationality effect, to reduce the irrational factors of the decision-making, and balance the different interests of the policy audience appeal. Then grasp IP policy’s periodicity effect, to lead the patent holding micro-expectation and the trend of the innovation macro-economy, thereby promoting policy trajectory’s progress and transition. Next, regulate IP policy’s externality effect, to speed up the flow of the policy elements in the industry transfer, and expand the horizons of regional policy innovation. Finally, couple IP policy’s multi-dimensional effects, to optimize the overall effect of the IP policy system. Consequently, the IP policy is accelerated toward a more scientific and democratic system by playing IP policy effect’s role of a measuring standard.