知识产权司法保护能否促进企业自主创新?

知识产权司法保护赋予专利权人以“牙齿”,其是否能够促进中国企业进行自主创新，直接关系到中国企业的创新战略转型。本文以2017年中国专利调查数据为依据，考察了专利诉讼对于企业自主创新战略的影响。实证分析表明，专利诉讼经历能够有效激励涉诉企业进行自主创新，这一结论在采用倾向得分匹配法和加粗精确匹配法，以及采用工具变量法和条件混合过程方法后仍然稳健。这表明知识产权司法保护有利于促进企业自主创新。异质性分析表明，知识产权司法保护对于企业自主创新的促进作用在小微企业、专利依赖型产业的企业以及内资企业中更为显著。     

If you cannot block, you better run: Small firms, cooperative innovation, and appropriation strategies

This empirical study examines small firms’ strategies for capturing returns to investments in innovation. We find that small firms’ strategies are qualitatively different from those found in earlier studies of both small and large firms. Most of the small firms examined here find informal means of protection, such as speed to market or secrecy, more important than patenting. Only firms with university cooperation—typically R&D intensive and science-based small firms—were likely to identify patents as the most important method of appropriating innovation returns in their field. Thus, the strategic choice for most small firms is between secrecy and speed to market. Firms that cooperate in innovation with horizontal partners or significantly depend on vertical partners tend to prefer speed, whereas process innovators with modest R&D investments or few cooperative R&D activities display a preference for trade secrets. Indeed, cooperation activities greatly influence the choice of intellectual property strategy for small firms. Earlier research has emphasized patents and trade secrets as key strategies of appropriation, yet these strategies do not appear to be very beneficial for small firms engaged in cooperative innovation. These results raise policy questions regarding the functionality of the existing system of intellectual property rights.     

中国知识产权政策对技术创新绩效影响的实证研究

通过综合考察知识产权政策内容建立知识产权政策量化标准,从政策力度、政策目标、政策措施三个方面对知识产权政策进行量化并建立经典的计量模型对中国知识产权政策的影响进行评估。结果发现,政策力度能显著促进新产品销售率,但会限制专利授权量;权利界定目标显著促进了技术创新绩效,但侵权惩戒目标却显著限制了技术创新绩效;最主要的行政措施对技术创新绩效的影响很小,而真正起作用的财税措施没有得到足够的重视。     

Against the odds: Small firms in Australia successfully introducing new technology on construction projects

The methods by which small firms overcome the disadvantages of their size to implement innovation on construction projects are examined here through five Australian case studies. It is found that such methods include working with advanced clients, prioritising relationship-building strategies and using patents to protect intellectual property. Key obstacles to innovation implementation by small firms on construction projects are found to be bias in the allocation of government business assistance and regulatory inefficiencies under federal systems of government. The study’s findings derive from a theoretical framework which emphasises firm capabilities and environment, and innovation typologies. Further research is recommended into the impact of government assistance and regulation on small innovative construction firms.     

Profiting from innovation and the intellectual property revolution

This paper reviews the contribution of Teece's article [Teece, D., 1986. Profiting from technological innovation: implications for integration, collaboration, licensing and public policy. Research Policy 15, 285-305.]. It then re-examines the core concept of appropriability in the light of recent developments in the business environment. Whereas twenty years ago the appropriability regime of an industry was exogenous and given, today they are often the product of conscious strategies of firms. And as open source software and other industries show, advantageous appropriability regimes are not always “tight” or characterized by strong intellectual property protections. The strategies adopted by firms that have successfully profited from their innovative activities cast into new light old questions about the impact of intellectual property protection on the rate and direction of innovation.     

国家知识产权战略与创新激励——“保护创新”还是“ 伤害创新”

近20年来,中国企业创新活动陷入一个两难的困境,企业“不愿”甚至“不敢”进行创新活动。为改善创新的制度环境,2008年中国政府开始实施国家知识产权战略。本文旨在评估产权制度改革的实施效果。研究发现,第一,中国知识产权战略激励了企业的创新活动,能够保护企业创新。知识产权战略通过提高企业间知识侵权的违法成本来达到“保护创新”的目的,不过,行政保护和产权保护环境这两种保护机制很难对创新成果起到改善的作用。第二,中国知识产权战略并没有明显的改善创新质量,企业发明专利数量和新产品产值率均没有明显的提高。若长此以往,企业可能会陷入“不愿创新”的怪圈中,反过来亦会“伤害创新”。第三,相对于非高新技术企业,知识产权战略对高新技术企业的创新投入和创新质量的改善强度更大。需要注意的是,知识产权战略抑制了非高新技术企业的创新质量,也就是说,非高新技术企业干扰了中国知识产权战略的实施效果。那么,一方面中国政府应当继续实施知识产权战略,特别是重点落实知识产权争端的司法惩戒力度;另一方面,中国政府应当关注这一战略实施对非高新技术企业所带来的潜在影响。     

How does digital piracy affect innovation? Evidence from software firms

Despite digital piracy's well-documented impact on firm revenue, the relationship between piracy and firm innovation, including the creation of new intellectual property (IP) rights, is not well-understood. To fill this gap, this paper estimates the impact of piracy on innovation through a quasi-experimental design and explores the mechanisms driving this relationship using data on software firms. Leveraging a 2001 technological shock that suddenly enabled rising software piracy, we find increases in subsequent R&D spending, copyrights, trademarks, and patents for large, incumbent software firms. Furthermore, firms with large patent portfolios appear to disproportionately increase copyrights and trademarks following the piracy shock. After considering alternatives, our analysis suggests that impacted firms perceive piracy as a form of product-market competition that causes them to increase innovation and balance their IP portfolios.     

Sailing in all winds: Technological search over the business cycle

Business cycles modify firms’ incentives to innovate and the direction of innovation. By introducing a new measure of patent unconventionality this paper explores the impact of the business cycle on firms’ technological search strategies. We find that during upturns firms generate inventions characterized by a higher level of technological unconventionality. We also find that financially resilient and diversified firms produce more unconventional patents. While patent unconventionality is associated with technological impact and market value, firms extract more value by investing in unconventional inventions in downturns.     

融资依赖、IPO与创业板上市公司创新投资

   以2009—2014年创业板上市公司首次公开募股(initial public offering,IPO）前后3年数据为样本,构建双重差分模型,实证研究了IPO对企业创新投资的影响和不同融资依赖企业IPO创新影响的差异及其原因。实证结果表明：IPO后企业创新投资显著下降,且外部融资依赖企业IPO后创新投资下降幅度显著大于内部融资依赖企业,因为外部融资依赖企业风险投资参与比例和持股比例较高,IPO后风险投资对企业创新的负影响显著,体现了IPO后企业高管和投资者在市场短期盈利压力的“短视”行为。这为科创板市场弱化短期盈利的监管以强化企业持续创新的动力提供了经验证据。     

中美经贸摩擦背景下我国知识产权保护战略研究——基于工业机器人和智能汽车产业的专利申请数据

最新一轮的中美经贸摩擦体现出两国在高新技术领域的科技竞争显著增强。美国挑起此次经贸摩擦的根本目的是压制"中国制造2025",遏制中国高新技术的发展,保持其全球技术领先者的地位。中国只有逐步完善知识产权保护制度,提高自主创新能力,才能从根本上解决经贸摩擦中的知识产权争端。文章在此背景下,首先,系统梳理以往中美经贸摩擦对我国知识产权保护的影响,发现:尽管中美经贸摩擦对我国企业造成了冲击,但也在一定程度上倒逼我国增强知识产权的保护、促进企业转型升级。其次,对工业机器人和智能汽车产业的知识产权保护现状进行调研,研究发现:近10年来,中国申请的专利数量迅猛增长,数量上已经跃居第一,但专利多而不强、主要集中在应用技术领域,核心技术领域的专利占比相对较少。这反映出我国企业的自主创新能力迅速提升,但在关键技术领域还较为薄弱。基于研究结果,提出在中美经贸摩擦背景下,我国知识产权保护战略政策的建议。     

The role of corporate technology strategy and patent portfolios in low-, medium- and high-technology firms

Previous research into technology strategies and patent portfolios has focused on high-technology firms, whereas low- and medium-technology companies have been relatively neglected. Therefore, we analyze how corporate technology strategy and the size and composition of patent portfolios affect the performance of low-, medium- and high-technology firms. Data from 136 European companies are used to examine four hypotheses relating financial performance to technological diversification, technological aggressiveness, patent portfolio size, and patent portfolio quality. The cross-industry sample allows analyzing the different consequences of these strategic parameters in low-, medium- and high-technology firms by considering technological intensity as a moderator. Our first finding is that the positive impact of technological aggressiveness is limited in low- and medium-technology companies. Secondly, technological diversification has a positive effect in high-technology firms and a negative effect in low-technology firms. Thirdly, patent portfolio size has a positive effect only in high-technology firms. Finally, patent portfolio quality has an equally positive influence on all firms’ performance. In part, these results conflict with the findings of previous research into high-technology companies, and they call for rethinking the role of technology strategies and intellectual property portfolios in firms across industries.     

信号丢失视角下的企业专利战略研究

以往研究基于信号理论,强调专利信号对企业资源获取的积极影响,而未能解决企业如何应对专利流失的问题。本研究使用我国专利密集型产业的上市公司样本,探讨了企业专利数量的减少如何影响企业后续专利申请行为。通过构建2008-2017年中国专利密集型上市公司的面板数据,使用负二项回归进行分析,发现企业专利数量的减少会触发企业的积极响应,促使企业申请更多的专利来恢复专利的信号功能。同时,企业的响应力度会受到内外情境因素的影响,其中企业连锁董事网络的中心地位和政治联系具有消极的调节作用,而组织绩效则具有积极的调节作用。本研究从信号丢失的全新视角揭示了企业如何解决专利流失问题,并为我国企业的专利申请战略提供了理论参考。     

基于系统动力学的区域技术创新与经济增长研究——以湖南省为例

利用系统动力学因果联系、互相反馈特点,分析系统内部各个变量之间的因果反馈关系,从区域创新环境、区域创新载体、区域创新投入3个方面定义区域技术创新能力指数,并建立技术创新与区域经济增长的系统动力学模型,并利用湖南省2006-2013年数据进行模拟和仿真.研究发现:知识产权保护水平、教育投入和企业自主研发投入水平是影响区域技术创新的关键因素;而一味通过政府投入,盲目增加专利数量对于经济增长效果不明显.     

股权与债权融资对技术创新绩效的影响研究

科技企业面临较高的技术创新风险,良好的融资体系可以通过容忍并承担技术试错和商业探索的风险较好地支持技术创新。本文比较了股票市场股权融资与银行信贷债权融资对技术创新风险容忍度的差异,基于52个国家或地区跨国样本,采用面板计量模型实证检验了股权和债权融资对技术创新绩效的影响。研究发现,股权融资具有更高的风险容忍度更能提升企业家风险偏好,因而股权融资比债权融资更有利于支持技术创新;发达国家成熟股票市场比发展中国家新兴股票市场更能促进技术创新;股权融资无论经济上行期还是下行期都能更好的支持技术创新。在实证研究基础上,从提高融资体系风险容忍度、降低股权融资约束、健全风险补偿机制等方面提出了完善科技融资支持体系的对策建议。     

互联网发展与技术创新：专利生产、更新与引用视角

本文在理论上分析互联网发展对技术创新的可能影响机制,利用2007—2014年我国230个地级市的面板数据,通过主成分分析法构建了互联网发展指数。并进一步应用工具变量法实证研究了互联网发展对技术创新产生的影响及其内在传导机制。本文采用1984年各城市每百人固定电话数量与电信投资量的交互项作为研究的工具变量。实证表明：（1）无论从专利数据还是城市创新指数来看,互联网发展都显著促进了技术创新;（2）互联网发展加速了专利的折旧速度,有利于提高创新知识的更新速度;（3）互联网发展加快信息的传播,提升了专利的国内外引用,显著增加了创新知识的溢出。本文为我国“互联网＋”行动计划、创新型国家建设奠定了理论与事实基础。     

高强度的环境规制能够促进国内大气科技创新吗？——以〖SO〗_2排放控制技术为例

从理论上来说,波特弱假说涉及双重外部性问题,即大气污染的负外部性和技术创新的正外部性,环境规制和知识产权保护合力才能予以切实彻底解决,而后者并没有得到普遍重视。本文认为,波特弱假说需要考虑知识产权保护强度。以SO_2排放控制技术为例,本文运采用2000-2013年省际省份面板数据,结合固定效应模型进行实证研究检验了知识产权保护对于波特弱假说的作用。结果发现,当知识产权保护较弱时,环境规制对大气科技创新具有呈现负向影响;。只有当知识产权保护较强时力度超过一定阈值时,环境规制才会对大气科技创新产生正向影响,波特弱假说成立。此外,环境规制和知识产权保护影响大气科技创新的交叉效应主要出现在企业,而非科研院所和个人,创新主体存在明显的差异性。     

CEO两职合一对企业技术创新的影响研究

本文研究CEO两职合一(CEO兼任董事长)的领导权结构对企业技术创新的影响。研究使用2003-2013年中国沪深A股上市公司的大样本,发现CEO两职合一促进了企业技术创新。首先,CEO两职合一促使企业研发投入更多;其次,CEO两职合一增加了企业的研发产出(表现为获得更多发明专利);第三,CEO两职合一提高了企业的研发效率。此外,CEO两职合一对技术创新的正向影响在监管力度较大的企业更明显。     

“好”“坏”不确定性与企业R＆D投入强度

以工业增加值增长率的已实现波动率、已实现波动率的正半方差和负半方差分别度量经济不确定性、“好”的经济不确定性和“坏”的经济不确定性,选取2009—2019年中国1126家上市公司年度数据实证考察“好”“坏”不确定性对企业研发投入强度的影响及异质性影响机制。研究发现：经济不确定性对企业研发投入起到了促进作用,“好”的经济不确定性对企业研发投入具有显著的抑制效应,“坏”的经济不确定性对企业研发投入具有促进效应;这种效应对国有企业、高新技术企业和第二产业的企业的作用更为明显。在当前中国宏观经济下行压力加大背景下,该研究结论对国家实施创新驱动发展战略具有非常重要的政策启示。     

Dealing with intellectual property (IP) landmines: Defensive measures to address the problem of IP access

Intellectual property (IP) rights have become an important strategic battleground, in which IP owners increasingly build barriers that impede firms from operating in the marketplace. Although research has examined property preemption as one approach to defend against being blocked by others’ IP, a broader palette of defensive IP measures to address problems of missing access to external IP has received less scrutiny. In quantitative analyses of a representative survey of German firms, we find that key firm-level attributes—firm scope, innovation expenses, product innovation, collaboration breadth, and use of patents—are associated with a need to use such defensive IP measures. We also examine the firm-level attributes associated with a firm’s choice among eight possible types of strategies for IP defense, and how certain types of defensive IP measures are systematically interrelated in use. Qualitative interviews with seventeen intellectual property practitioners complement, and help to interpret, our quantitative findings. Implications for future research, and for managers and policymakers are discussed.     

双元创新、知识场活性与知识产权能力的路径分析

本研究从企业的双元创新模式选择出发,探究双元创新行为在知识场活性的中介作用下对于企业知识产权能力构建的影响。同时基于不同领导人调节焦点对于双元创新行为的选择偏好,探究其对双元创新与知识产权能力构建的调节作用。对378家不同行业和地区的企业调研数据进行实证研究,结果表明,探索式创新和开发式创新对知识产权创造能力具有倒U型影响,且均对知识产权保护能力具有正向影响,但探索式创新对知识产权管理能力具有负面影响而开发式创新为正面影响。知识场活跃度和开放度在探索式创新与知识产权能力及开发式创新与知识产权能力的路径中均起到中介作用,但作用的方式不同。促进型调节焦点对探索式创新与知识产权创造和运用能力之间的关系具有正向调节作用,对探索式创新与知识产权保护和管理能力之间具有负向调节作用;防御型调节焦点在开发式创新与知识产权创造、保护和管理能力间具有正向调节作用,在开发式创新与知识产权运用能力间具有负向调节作用。