重大课题组知识产权风险管理模式——联用失效模式及效果分析和故障树分析方法  

Intellectual Property Risk Management Mode of Major Research Groups: Combined Failure Mode and Effect Analysis and Fault Tree Analysis

作　　者：刘宇[1] 孙跃辉 刘忠禹 王凤艳[3] Liu Yu;Sun Yuehui;Liu Zhongyu;Wang Fengyan(Chengdu Library and Information Center,Chinese Academy of Science,Chengdu 610041,China;Patent Examination Cooperation(Beijing)Center of the Patent Office,CNIPA,Beijing 100160,China;Shanghai Institute of Ceramics,Chinese Academy of Science,Shanghai 201899,China)

机构地区：[1]中国科学院成都文献情报中心,四川成都610041 [2]国家知识产权局专利局专利审查协作北京中心,北京100160 [3]中国科学院上海硅酸盐研究所,上海201899

出　　处：《科技管理研究》2021年第8期156-162,共7页Science and Technology Management Research

基　　金：四川省科技计划项目“科技成果转化多元要素聚合推动四川高质量发展的路径研究”(2020JDR0008);中国科学院青年创新促进会研究项目“刘宇青促会项目”(2020178);中国科学院成都文献情报中心主任基金项目“基于FTA/FMEA方法的科研机构知识产权风险预警模型及实证研究”(Y7Z0581005)。

摘　　要：探讨重大课题组知识产权风险的分析、评价及防控,为科技领域知识产权风险研究提供数据和方法参考,促进提高知识产权管理能力。联用安全系统学的失效模式及效果分析(FMEA)和故障树分析(FTA)方法,分析重大课题组知识产权风险的潜在后果、发生可能性及形成原因,识别与评价关键风险点,并围绕关键风险点剖析底层事件,提出防控预警措施,形成有利于前置化风险识别、评价、预警和解决的泛在化科研单元知识产权风险管理模式。以上海硅酸盐所某重点实验室为例,实证结果显示该模式能有效对重大课题组知识产权活动的12类潜在风险进行分析与评价,并围绕关键风险点剖析出基本事件重要度顺序,从而制定有针对性的风险防控策略。This paper discusses the analysis, evaluation, prevention and control of intellectual property risks in major research groups, in order to provide data and method references for intellectual property risk research in the scientific and technological field, and promote the improvement of intellectual property management capability. The paper combines the failure mode and effect analysis (FMEA) and fault tree analysis (FTA) methods, which are both the security system methods, analyzes the potential consequences, possibility and causes of the risks, identifies and evaluates key risk, and puts forward prevention and control early warning measures by analyzing the underlying events around the key risk points, therefore, forms the risk management model of intellectual property in universal scientific research unit which is beneficial to the identification, evaluation, early warning and solution of pre-existing risk. Taking a key laboratory of Shanghai Silicate Institute as an example, the empirical results show that this model can effectively analyze and evaluate 12 kinds of potential risks of intellectual property activities of major research groups, and the paper analyzes the order of importance of basic events around the key risk points, so as to formulate targeted risk prevention and control strategies.

关 键 词：知识产权风险 重大课题组 风险评价 风险管理 失效模式及效果分析(FMEA) 故障树分析(FTA) 

分 类 号：G350[文化科学—情报学] F224[经济管理—国民经济]