联盟组合多样性、关系强度与技术标准化能力

利用1999至2013年拥有标准联盟参与经历的170家车辆生产企业的数据,研究标准联盟组合多样性对企业两类技术标准化能力(主导能力、跟随能力)的影响,及关系强度在上述影响中的调节作用。基于负二项随机效应回归模型的实证分析发现：标准联盟组合多样性与企业技术标准化主导能力呈正U型关系,与技术标准化跟随能力呈倒U型关系。在标准联盟组合资源向技术标准化能力转化的过程中,联盟关系强度发挥了显著调节作用：随着关系强度提升,联盟组合多样性与技术标准化主导能力的正U型关系曲线、与技术标准化跟随能力的倒U型关系曲线将变得更为陡峭。     

新能源汽车产业产学研合作专利分析

后经济危机时代,新能源汽车作为中国战略新兴产业之一,在加快转变经济增长方式、振兴中国传统汽车制造业上扮演着极其重要的角色。本文通过对该领域整体发明专利和产学研联名专利的对比分析,得出结论:中国新能源汽车领域最初的研究主体是高校及科研院所,随着该技术的产业化、市场化,有更多的企业加入到新能源汽车技术的研发之中;日本和美国的公司表现出较强的研发能力,中国企业研发能力有限,企业与高校的合作在加强,与科研院所的合作力度降低;企业自主研发与产学研联合研发所侧重的技术领域有所不同,高校和科研机构的技术热点也存在差异。     

The anatomy of a troll? Patent licensing business models in the light of patent reassignment data

We examine patent licensing business models of non-practicing entities that generate revenue by selling, licensing, or litigating patents. They may also pursue R&D activities, invent new technologies, or provide services to inventors or product companies. We describe their business models and patent market behavior and then compare their litigation strategies against product companies using a matched sample of highly comparable patents. The main differences among patent licensing firms stem from their technological capabilities, patent portfolio sizes, and external relationships. We find that licensing firms with technological capabilities often pursue litigation until decision and engage in forum shopping. In contrast, litigation incidence, parties involved, and outcomes are primarily determined by patent characteristics, not entity types. Licensing business models drive the acquisition of certain types of patents that influence the outcomes of the patent system. We argue that patent policy should strengthen mechanisms to discover invention quality rather than focus on the amount of litigation or types of entities.     

新型技术追赶、动态能力与创新能力演化——中集罐箱案例研究

在全球化和开放式创新背景下,后发企业技术追赶正呈现出起点更高、范围更广、速度更快等"新型技术追赶"特征,而传统技术追赶理论并未很好地解释这一现象背后的创新能力演化过程与机理。本文依据动态能力理论,通过对中集集团罐箱业务的技术追赶与创新能力演化过程进行纵向案例分析,探讨了后发企业如何通过开放式创新实现新型技术追赶和推动创新能力演化。研究发现:(1)技术并购日益成为开放式创新条件下后发企业实现新型技术追赶、快速提升创新能力的重要方式;(2)企业动态能力在后发企业新型技术追赶和较快积累创新能力中起到重要作用,而动态能力本身也可以在运用中不断提升。本研究可以为后发企业实现快速技术追赶和提升创新能力提供借鉴和参考。     

Invention value,inventive capability and the large firm advantage

Do large firms produce more valuable inventions, and if so, why? After confirming that large firms indeed produce more valuable inventions, we consider two possible sources: a superior ability to invent, or a superior ability to extract value from their inventions. We develop a simple model that discriminates between the two explanations. Using a sample of 2,786 public corporations, and measures of both patent quality and patent value, we find that, while average invention value rises with size, average invention quality declines, suggesting, per our model, that the large firm advantage is not due to superior inventive capability, but due to the superior ability to extract value. We provide evidence suggesting that this superior ability to extract value is due to the greater commercialization capabilities of larger firms.     

基于技术转移的企业能力演化过程研究

如何借助技术转移获得技术能力 ,是发展中国家的企业在国际技术转移过程中所面临的主要课题。本文运用企业资源基础理论和演化理论相结合的分析框架 ,从企业资源与能力分析入手 ,通过刻划技术转移过程的学习性质 ,建立起基于技术转移的企业能力演化过程模式 ,以期加深对发展中国家企业从技术引进到能力培育和成长过程的理解 ,进而为我国企业自主能力的形成提供借鉴。     

The nanotech versus the biotech revolution: Sources of productivity in incumbent firm research

Does the adaptation of incumbent firms to new methods of inventing follow similar patterns across industries and inventions? We investigate this question in the context of the revolutionary scientific advances enabling biotechnology and nanotechnology, both of which represent inventions of methods of inventing for incumbent firms. We hypothesize that an incumbent firm's ability to exploit these new methods of invention depends initially on access to tacit knowledge on how to employ the new methods. Over time, however, as firms learn and/or the knowledge becomes codified in routine procedures or commercially available equipment, inventive output is more highly dependent on traditional R&D investments. We empirically test these hypotheses on two longitudinal samples over the 21-year time period between 1980 and 2000: 80 incumbent pharmaceutical firms generating 15,607 biotechnology patents, and 249 firms across a diverse set of industries that were granted a total of 3236 nanotechnology patents. We find broad support for our conjectures.     

Patents, venture capital, and software start-ups

This paper analyzes the relation between the patenting behavior of startup firms and the progress of those firms through the venture capital cycle. Linking data relating to venture capital financing of software startup firms with data concerning the patents obtained by those firms, we find significant and robust positive correlations between patenting and several variables measuring the firm's performance (including number of rounds, total investment, exit status, receipt of late stage financing, and longevity). The data also show that (1) only about one in four venture-backed software firms acquired even one patent during the period of the study; (2) patenting practices very considerably among the sub-sectors of the software industry; and (3) the relationship between patent metrics and firm performance depends less on the size of the patent portfolio than on the firm's receipt of at least one patent.     

Distributed R&D, cross-regional knowledge integration and quality of innovative output

We explore the impact of geographic dispersion of a firm's R&D activities on the quality of its innovative output. Using data on over half a million patents from 1127 firms, we find that having geographically distributed R&D per se does not improve the quality of a firm's innovations. In fact, distributed R&D appears to be negatively associated with average value of innovations. This suggests that potential gains from access to diverse ideas and expertise from different locations are, on average, offset by difficulty in achieving integration of knowledge across multiple locations. To investigate whether the innovating teams that do manage cross-fertilization of ideas from different locations achieve more valuable innovations, we analyze innovations for which there is evidence of such knowledge cross-fertilization along any of the followings dimensions: knowledge sourcing from other locations within the firm, having at least one inventor with cross-regional ties, and having at least one inventor that has recently moved from another region. Analysis along all three dimensions consistently reveals a direct positive effect cross-regional knowledge integration has on innovation quality, as well as a positive interaction effect of cross-regional knowledge integration and distributed R&D for innovation quality. More generally, our findings provide new evidence regarding the importance of cross-unit integrative mechanisms for achieving superior performance in multi-unit firms.     

Using patent citation patterns to infer innovation market competition

We propose an empirical strategy to estimate competition in innovation markets. Our method relates firms’ market return on equity to information about patent citation patterns. Two innovations are implemented in the methodology. First is the application of daily abnormal stock returns rather than annual measures of Tobin's q. Second is the creation of citation patterns related to the area of science a firm patents in as represented by the detailed patent classification system. We find that markets positively reward firms when patents are granted. We further find that firm's market value increases when its patent portfolio is cited. We find evidence of competition in innovation markets. The market reacts at the time that the citation occurs and does not anticipate future citations at the time of patenting. Holding this effect constant, we find that citations from patents in the same area of science tend to reduce market value. We interpret these findings as consistent with more citations indicating more valuable intellectual property but citations from competing technologies decreasing it.     

Patent trading flows of small and large firms

This article provides new evidence on the patent trading flows of small and large firms. We document aggregate patterns of patent sales and acquisitions of small and large firms. We also examine the extent to which the initial innovator's and the potential buyers’ prior knowledge stocks in the same technology area and in geographical proximity with a patented invention are associated with the likelihood that the patent is sold, and whether the patent sold is bought by a small or large firm. To do so, we develop a dataset that matches patent sales and information on whether transacted patents are owned by small or large firms following a patent sale.     

Technological Diversification to Green Domains: Technological Relatedness,Invention Impact and Knowledge Integration Capabilities

Climate changes and ecological challenges often motivate firms to diversify into environmental domains. However, this does not guarantee impactful inventions. Therefore, this study investigates how firms can create impactful environmental inventions based on their technological relatedness and prior knowledge integration capabilities. Using a unique dataset of 1,990 high-tech Chinese firms between 2006 and 2016, our results reveal that diversifying firms’ green technological relatedness has an inverted U-shaped relationship with invention impact. While the depth of firms’ knowledge integration capabilities steepens this relationship, the breadth flattens it. Higher levels of depth capability result in a greater impact, while greater breadth leads to an early attainment of peak invention impact at a lower degree of green technological relatedness. Theoretical and policy implications are discussed.     

Analysis of sources of innovation, technological innovation capabilities, and performance: An empirical study of Hong Kong manufacturing industries

The concept of the regional innovation system (RIS) has been developed into an important framework for evaluating innovation performance. The study reported in this paper explores the relationship between the RIS and the firm's innovation system (FIS) according to the basic premise that firms that better utilize sources of information (SI) available within their regional innovation system (RIS) perform better due effect this has in enhancing the firm's technological innovation capabilities (TICs). The different innovation capabilities of a firm are regarded as the key components of the firm's innovation system. The sources of information available within an RIS include external sources (EXT) and external expert organizations, the latter of which are referred to as knowledge-intensive business services (KIBS). This study also explores the dual role of KIBS as both sources of and bridges for innovation in the RIS. Data were obtained through a mailed survey using a self-administered questionnaire. The utilization concept and the dual role of KIBS were verified. The results show that externally available information affects all innovation capabilities of the firm, while external expert organizations affect only the firm's R&D and resources allocation capabilities. This study contributes to the RIS literature by providing empirical evidence on how firms can interact with the RIS by utilizing SI to enhance their TICs and achieve global competitiveness.     

知识网络与企业竞争能力

本文论述了企业知识网络的重要性 ,说明企业在关系网络中的嵌入是获取竞争能力的重要来源。企业通过知识网络 ,不仅可以接近新信息和知识 ,而且能够协调企业间的交易 ,增进信任和合作。因此 ,协调网络本身的能力是一种系统能力 ,使企业能够超越自己资源的限制 ,获取更大的竞争优势     

产品创新绩效偏离、双元学习与企业家导向

产品创新是一个“发明+商业化”的过程。为得到较高的产品创新绩效,企业不仅需要良好的新产品开发绩效（发明）做支撑,还需要在新产品的商业化过程中,具有相匹配的创新成果转化绩效。基于此,文章以知识基础观和理性行为理论为理论基础,探讨企业新产品开发绩效与创新成果转化绩效之间的偏离,即产品创新绩效偏离对双元学习平衡和互补的影响,并引入企业家导向这一企业产品创新过程中的关键情境要素,分析其对偏离和双元学习平衡或互补之间关系的调节作用。利用国内257家制造业企业的有效问卷数据检验理论模型,研究结果显示：（1）偏离负向影响双元学习的平衡,正向影响其互补;（2）当企业的新产品开发绩效大于或等于创新成果转化绩效,即偏离为正时,企业家导向加强了正偏离与双元学习平衡之间的负向关系,削弱了正偏离与双元学习互补之间的正向关系;（3）当企业的新产品开发绩效小于创新成果转化绩效,即偏离为负时,企业家导向削弱了负偏离与双元学习平衡之间的负向关系,加强了负偏离与双元学习互补之间的正向关系。     

我国个人专利维持之谜——市场摩擦的证据

专利市场是经济活动中效率最为低下的市场之一。一方面,专利属于无形资产,很难评判其价值。另一方面,由于信息不对称,市场参与双方（发明人和使用者）均面临很大的搜寻和交易成本。然而较少有文献实证记录这些市场摩擦所带来的后果。本文记录中国个人专利申请的一个特别现象：与企业专利相比,个人专利被广泛认为质量较差;然而另一方面,个人专利在授权后的维持时间却长于企业专利。本文认为专利市场摩擦可以一定程度上解释该现象：由于搜索成本和信息不对称,相对于企业来说,个人发明人需要更长时间才能将其专利许可或转让给可以商业化的公司。个人发明人往往需要这些转让收益来收回发明的投资成本,为此他们会努力寻求潜在的授予方,而不得不维持专利到更长的时间。 本文提供一些实证证据来支持这个假说。在专利质量比较过程中,本文基于中国国家知识产权局的数据库,整理并建立了中国专利申请的详细数据并构建了若干质量指标。同时,作者利用谷歌专利数据库补充了专利权利要求项数量和专利引证这两个指标,为中国专利质量分析、知识传递与溢出提供了重要的数据来源。     

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。     

专利能否提升企业TFP：基于A股上市公司研究

企业是国民经济活动的重要参与者，有效的专利政策对于促进企业科技成果转化、提升企业自主创新水平具有重要意义。本文利用中国A股上市公司2000-2016年的财务数据，运用多元回归和倾向得分匹配法研究不同类型的专利能否有效提升企业全要素生产率。研究发现：（1）实用新型专利对TFP的提升效应显著地大于发明专利，而外观设计专利对企业TFP的提升效应被扭曲；（2）专利的提升效应因行业、企业性质和区域而异，发明专利对国有企业、外资企业和东部地区具有显著的提升效应，实用新型专利对非高科技类行业、国有企业、民营企业、其他所有制企业具有显著的提升效应，外观设计专利对非高科技类行业具有显著的负向作用但对外资企业和其他所有制企业具有显著的提升效应。     

企业专利申请类型的影响因素探析——来自中国工业企业的实证研究

基于中国工业企业微观数据考察了企业专利申请类型的选择,在此基础上构建bi-probit模型,深入分析规模、产业竞争及研发投入对企业专利申请类型的影响,研究发现,企业规模和产业集中度促进了企业的发明专利和实用新型专利申请,且对发明专利的影响更大;研发强度促进发明专利的申请,但与实用新型专利申请负相关。在此基础上提出企业专利战略选择和我国专利制度改革的政策建议。     

供给侧结构性改革下制造业服务化与企业生产率的关系研究

   制造业服务化是世界制造业发展趋势。以供给侧结构性改革为背景,针对制造业服务化探讨了企业人均能源消耗、产业链升级、创新能力对企业生产率的共同影响机制。研究发现：制造业服务化与企业生产率正相关,但受到企业人均能源消耗的负向调节作用。同时,产业结构调整与企业创新能力强化了制造业服务化与企业生产率之间的正向关系。结论对供给侧结构性改革下的中国企业转型升级具有理论价值与实践启示。