国外企业“专利悖论”行为及其政策启示

摘要：随着世界范围内对专利保护强度的加大,特别是美国亲专利（pro-patent）政策实施以来,国外企业“专利悖论”行为在现实中开始大量存在。论文在对国外企业“专利悖论”行为的心理、实践和结果等三个方面的特征进行分析后,从美国实施的亲专利政策、企业R&D活动效率的提高、企业专利价值的策略性应用以及企业专利组合策略的产生与发展等四个方面,详细分析了“专利悖论”行为产生的原因;最后,结合中国的实际,给出了一些规范性的对策和建议。     

如何理解科学知识的“地方性”与“普遍性”

科学实践哲学强调科学知识的“地方性”,认为科学认识中不存在先验因素,这实际上倒向了经验主义或者说自然主义。众所周知,经验主义不但难以克服来自怀疑论的挑战,而且缺失对科学知识得以可能的“先验前提”的论证。有意克服怀疑论的先验主义是理解科学知识的“普遍性”的关键。在康德那里,科学知识的“普遍性”体现于主体的认知框架,即面对感性直观形式和知性范畴时的别无二选。在由改造康德哲学而来的先验语用学那里,科学知识的“普遍性”体现于主体间的先验语言游戏。然而,科学知识的现实存在以“数学在自然科学中不合理的有效性”为代价,代价起因于知性认知的奠基本性与人类实践的历史本性之间的错位。上述的探究启示我们应尝试将经验主义、先验主义与对科学知识的实际状况的反思结合起来,这样能更为全面地理解科学知识的“地方性”和“普遍性”及二者对立的根源。     

信贷扩张、研发投入与中国经济增长的“量”与“质”

本文基于1998-2012年全国省级面板数据,运用动态面板系统广义矩估计法,从数量和质量两个维度,实证分析了信贷扩张与研发投入对中国经济增长的作用。结果表明：从全国的总体来看,信贷扩张和研发投入对经济总量增长均起到了促进作用,但研发投入的作用强于信贷扩张;研发投入对经济质量提升同样具有正向促进作用,而信贷扩张则相反。此外,二者对经济增长的作用存在区域差异,对东部推动作用最强,中西部的推动作用较弱。“新常态”下推动中国经济发展,既需要信贷扩张形成的资本要素,更需要研发投入形成的创新要素。     

“前沿研究”、“转化型研究”与新交叉模型的建立

近年来,科技活动的组织模式不断创新,出现了“前沿研究”（frontier research）和“转化型研究”（translational research）等新概念。本研究在分析前沿研究、转化型研究概念及内涵的基础上,提出了对巴斯德象限模型的修正,并进一步提出用新模型思考与认识国家创新体系各单元定位的问题。     

欧洲政策思想史中的“负责任研究与创新”

本文将“负责任研究与创新”放在欧洲政策思想史的背景中来解读,认为其核心内涵是通过公共协商的方式来塑造目标和价值,并依此塑造科技创新的路径和方向,从而实现社会和谐发展。这一核心内涵并没有超出哈贝马斯在1960年代关于科学技术与政府统治之关系的思想,即关于政府支持科技创新的三重合法性辩护、对共同目标和科技发展路径的双重塑造,所增加的新内容就在于如何实现这双重塑造的具体方法。     

扎根理论的“丛林”、过往与进路

改革开放40年来，中国经济的发展令世人瞩目，也积累了大量的企业管理实践经验，以何种方法论对这些特色实践进行理论总结是管理学者必须思考的问题。扎根理论是得到国际学术界广泛认可的优秀方法论，但其经过多年发展已经形成学派的“丛林”，使初学者望而却步。本文在充分回顾国内外有关扎根理论的代表性研究基础上，梳理了扎根理论发展的脉络及不同学派，对最具代表性的经典扎根理论、程序化扎根理论、建构型扎根理论的数据编码流程进行了比较，基于定性与定量研究思想的视角梳理了其演化过程与路径。本文认为，“扎根精神”是扎根理论不同学派共同的学术精神，在秉持“扎根精神”的基础上交流融合是扎根理论未来的发展方向。基于“中国管理扎根研究范式”及已有研究基础，拟提出“扎根方法论（Zhagen Methodology）”，为推动中国本土管理研究、构建中国管理学派做出贡献。     

从“人类新领域研究计划”看“社会5.0”的趋势

“回顾研究”是学术研究的重要方法之一。通过此种方法,选取一段时间,对某一事件特别是完成后的回溯加以提炼和甄别,找出隐含的规律和代表的趋势,为今后类似事件面临的问题提供一些有实践意义的解决方法。本文选取的两个战略计划和目标,均是日本官方公开定性并与其它国家有关战略类似的政策。其中在探讨“人类新领域研究计划”时,以日本国家战略和目标的研究意义为缘起,选取从制定、实施到现在三十年有余的时间段,回顾并阐释了该计划制定的初衷和现状。然后与日本国家层面最新拟定的“社会5.0”大目标相比较,试图通过发现两者内部隐含的脉络,为“社会5.0”的未来走向提供预测。最后在更大层面上为国家战略计划的制定和实施,提供一个不限于日本一国的有实际价值的参考。     

基于“良序科学”理想对“CEPC-SPPC之争”的讨论

基切尔认为,树立于温和实在论基础之上的科学形象才是实际的,这也是将科学民主化的认识论依据;与此同时,布朗论述了将科学民主化的政治学依据。这两个依据是旨在为科学实践治理提供标准的“良序科学”理想得以建构的重要前提。“良序科学”理想要求“理想慎思过程”贯穿于科学的资助、具体的研究内容及研究成果转化的全过程,以此确保民主力量能始终发挥作用。基于“良序科学”理论来看,最近爆发的中国是否应该建造“环形正负电子对撞机和超级质子对撞机（CEPC-SPPC）”的争论至少反映出了当前中国科学实践及其治理存在的三个显著问题：1）中国科学实践的“治理”方面存在观念性障碍;2）治理主体未能充分认识到科学实践治理的民主模式及其多样性和具体性;3）治理主体未能辨明科普的双重目的：“理解”与“参与”。若要解决这些问题,下述的思路或许可供参考：1）思想观念方面强化认识科学实践时的整体论思维;2）理论研究方面引入普遍语用学的维度;3）制度设计方面重视科学实践治理的正义原则。     

睡美人文献与昙花一现文献的识别与特征比较

[研究目的]综合无参数指标与参数指标识别睡美人文献与昙花一现文献,从期刊、作者与引文等维度分析“睡美人”与昙花一现文献特征的异同。[研究方法]获取Web of Science核心合集中NEJM、Lancet、BMJ三大医学期刊1970—2020年间发表的高被引论文为样本数据,综合无参数指标Bcp指数与四分位参数法测度并识别睡美人文献与昙花一现文献,依据Bcp值分别截取特征明显的各10篇作为对照组对比分析两类文献特征。[研究结论]相较于睡美人文献,昙花一现文献更多发表于高影响因子期刊,作者数量多且总体年龄偏大。睡美人文献虽不善于“营销”,但与昙花一现文献相比,其内容更具原创性并更易得到专利的引用;施引睡美人的文献同样存在睡美人现象并对原睡美人文献观点持正向援引,昙花一现文献亦是如此,且发表在高影响力期刊的施引文献对原昙花一现文献的“宣传”会起到积极作用。与昙花一现文献相比,睡美人文献可以更好体现科学与技术的互动,影响力持久且对技术创新贡献大。论文对完善国内论文、期刊、科研人员评价提供新的视角和思路。     

“诚信”文化与企业创新

鉴于从企业文化维度分析企业创新的经验研究较为匮乏，用文本分析有效识别“诚信”导向的企业文化数据，以2007-2015年沪深A股上市公司样本实证分析“诚信”文化与企业创新的关系。并进一步从微观的公司特征层面与宏观的制度环境层面检验了此影响的差异性。实证结果表明：视“诚信”为首要文化的企业，专利申请数量更高，创新能力更强；进一步的研究发现，“诚信”文化对于企业创新的“驱动”影响在国有企业、两权合一的企业以及制度环境较差地区的企业中作用更大。本文从普适性的企业文化视角对影响企业创新的作用情境进行了解释，为企业文化影响企业绩效领域的研究提供了新的分析视角与经验证据。     

全球科技治理的权力结构、困境及政策含义

全球科技治理是在国际层面上干预、规制科学技术发展的制度和规则体系,反映了全球化时代科技创新的新特点和新环境。全球科技治理的内容可分为两方面:科技全球化的国际规则和基于全球问题的科技治理。国家政府、市场(跨国公司)和公民社会是全球科技治理中最重要的行动者,它们的行为中渗透着全球主义与国家主义、工具理性和价值理性之间的冲突。三类主体在两对冲突中的行为组合,导致当代全球治理中的工具理性和国家主义,并进而导致了全球科技治理中的诸多困境。最后就如何提高中国参与全球科技治理的能力,提出了四点政策建议。     

美国科技政策方法学（SoSP）及其对我国的启示

 科技政策方法学 (Science of Science Policy, 简写为SoSP) 是近年来在美国兴起的一门新的学科,与现有科技政策相关学科相比,SoSP更加强调基于定量数据的分析、描述和展示,发展以证据为基础的科学决策方法。简要介绍了SoSP在美国兴起的背景、学科定位与发展动态,探讨了SoSP对我国的启示。     

Senator Fred Harris's National Social Science Foundation proposal: Reconsidering federal science policy, natural science-social science relations, and American liberalism during the 1960s

During the 1960s, a growing contingent of left-leaning voices claimed that the social sciences suffered mistreatment and undue constraints within the natural science-dominated federal science establishment. According to these critics, the entrenched scientific pecking order in Washington had an unreasonable commitment to the unity of the sciences, which reinforced unacceptable inequalities between the social and the natural sciences. The most important political figure who advanced this critique, together with a substantial legislative proposal for reform, was the Oklahoma Democratic Senator Fred Harris. Yet histories of science and social science have told us surprisingly little about Harris. Moreover, existing accounts of his effort to create a National Social Science Foundation have misunderstood crucial features of this story. This essay argues that Harris's NSSF proposal developed into a robust, historically unique, and increasingly critical liberal challenge to the post-World War II federal science establishment's treatment of the social sciences as "second-class citizens."     

National science training policy and early scientific careers in France and the United States

The economic health of nations and regions is increasingly coming to rest on the scientific and technical labor force conducting scientific research. As such, enormous social resources are directed to educating and training those who will fire the engines of economic growth. In the first part of this paper, we compare recent investment in the scientific and technical labor forces by two giants of nationally-supported research endeavors: France and the United States. We find that France is more invested in scientific and technical training, but that both nations invest directly and indirectly in the scientific and technical labor force. French policy is more likely to support the individual graduate student directly through a national grant, while graduate students in the US tend to rely indirectly on federal support through research grants to other researchers. We then use duration models on individual data to predict entry into a permanent academic position within three years of completing a Ph.D. We do not find that industrial support of graduate training has any effect on later success in obtaining a position. There is, however, evidence of different academic labor markets operating in each country. In France, entry into a position has not depended on period factors, while in the US more recent cohorts have been more successful in obtaining permanent employment. Furthermore, postdoctoral positions in France delay or deter academic careers, but have no impact on entry in the US: this suggest that two different modes of scientific human resources management operate in France and in the USA. In the USA, Ph.D.s are seen as an essential element in the process of knowledge transfer, and early mobility does not affect entry into permanent academic careers. In France, few incentives are given to encourage mobility, which merely deters the access to permanent jobs. Finally, we found that graduates of the most prestigious undergraduate institutions were systematically advantaged in obtaining permanent academic employment, suggesting that academic stratification occurs very early in the training path in each country.     

West German science policy since the early 1960's: trends and objectives

The trends in West German science policy since the early 1960' are analyzed and compared to other industrially advanced countries. Government expenditures on research and development (R & D) are compared in their totality and also with regard to specific objectives such as defence, civil space, civil nuclear, general advancement of science, mining and manufacturing, agriculture, economic and social services.The trend of total government expenditure on R & D in West Germany iss characterized by a growth rate higher than in many other countries, such as the USA, the UK, France, Japan and the Netherlands. Also in each of the single objectives of government R & D, West German expenditure as a rule grew faster than in these countries. Among the different objectives, “general advancement of science” is given highest priority in West Germany, whereas the military sector is relatively small. In both trends and priorities, West Germany is more similar to Japan and the Netherlands than to the USA, the UK and France.The author discusses motives and intentions which may have affected these trends. He argues that West German science policy cannot be understood as a response to immediate economic problems, such as labour shortage or an alleged lag in technological progress in West German industry. In the early sixties West German science policy was still determined by efforts to catch up in certain technological fields from which West Germany had been excluded up to 1955 by allies' restrictions. In the late sixties, concern focussed on West Germany's long-term technological competitiveness in general.