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| The Formation Mechanism of International Technical Standards: A Case Study of Huawei Polar Code |
| Cui Weijun1,2,Chen Yuqi1 |
| (1.School of Business, Nanjing University of Information Science & Technology;2.China Institute of Manufacturing Development,Nanjing University of Information Science & Technology,Nanjing 210044,China) |
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Abstract Technical standards are the key to leading market competition. Along with the continuous updating and iteration of technology, the formation mechanism of technical standards is also constantly changing, and the internal formation mechanism of international technical standards is complex and changeable, and it is rare for China to make any international standard—setting. The existing research has formed a framework of "technology potentization—patent standardization—standard industrialization" around technical standards. On the basis of the framework, this paper selects Huawei which won the right to formulate the 5G NR eMBB control channel coding standard in 2016, as the research sample, and conducts a case analysis of Huawei's leading international technical standards to study the process and mechanism of the formation of technical standards from a micro perspective, and further explores the relationship between technical standards and technical patents. Through data analysis and research, on the one hand, the whole process of how enterprises convert theories into international technical standards can be presented more intuitively; on the other hand, it helps other companies to enter the ranks of technical standard formulation, and it also has certain advantages for the formation of technical standards.#br#The data mainly includes two categories. First, from the Derwent patent database, the name and code of the patentee of the index database HUAW—C, and the subject of polar code are selected, and the patent application data of Huawei Polar code from 2011 to 2019 is obtained, including the number of patent applications, authorization time, patent abstract, rights area, priority and other information. After classification and sorting, the layout process of Polar-code related patents is clarified. Second, the data of the 3GPP RAN1 standard meeting proposal and Huawei's annual reports are combined with the standard development of Huawei's milestone events. This study lays the groundwork for further analysis of the relationship between standards and patents; and it then extracts 2016—2020 from the standards conference proposal. The content of the proposal during the year, that is, the twelve standard meetings of 3GPP RAN1#85—#104e are sorted out to analyze the subject, content, quantity, status, etc. Thus the study provides a deeper understanding and exploration of the formation law of technical standards.#br#By sorting out the existing data and comparing them with the literature on the formation mechanism of other technical standards, this study finds that the research direction of technology patents of enterprises does not come out of thin air, and patents and technologies cannot be separated from academic papers or theories. In the search for the standardization path, the research perspective should not only be placed on the patents and technologies at the front end of the technical standards, but should be moved one step further to the sources of technical research related to patents. Without relevant theoretical support, the research and breakthrough direction of technology will be a major obstacle for the development of standardization. Therefore, the basic theoretical research and preparation before the transformation of technology into patents cannot be ignored. This study starts from the research of a basic theory such as academic papers and goes deep into the theory which becomes a technical standard, as well as the coordinated development model of standards and patents. Furthermore it focuses on the layout of academic papers converted to patents, the law of standard development, and whether standards and patents have a dynamic mode of coordinated development.#br#Therefore, this paper first focuses on the source of ideas for the technical standard of Polar code, that is, the theoretical basis of Polar code, and then organizes and summarizes its technical distribution and geographical layout through the patent data of Polar code. The standard proposal data of Polar code is sorted by time, subject, content, and status, etc., and the advantages of Huawei's Polar code standard proposal and competitors are analyzed. Finally, the standards and patents of Polar code are compared in terms of time, quantity and technology. Polar code technical standard and patent have mutual promotion and cooperation. It is of great practical significance for the internationalization of Chinese enterprises' technical standards and the integration of international technical standards and patents to reveal Huawei's process of transforming theory into international technical standards from a microscopic perspective.#br#
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Received: 18 May 2022
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