研发强度、专利行为与企业绩效
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摘要
在外部政策和内部资源双重约束下,中国企业专利行为是否存在背离技术创新和市场竞争的"异化"现象?专利创造、运用和保护能力在多大程度上有助于企业竞争力的提升?这是近十年来学界、政府和企业共同关注的问题。本文选取深圳市219家知识产权优势/示范企业作为全样本,对企业研发强度与专利申请动机、专利能力与企业绩效之间的关系进行实证分析。研究结果表明:样本企业的研发强度显著正向影响与技术创新强相关的专利申请动机,但与技术创新弱相关的专利申请动机无显著相关关系;总体而言,专利能力与企业绩效呈显著正相关关系,但专利创造能力、运用能力和保护能力对企业绩效的作用存在显著差异。上述研究结果对现行专利政策的调整和完善具有启发意义。
Under the constraints of external policy and internal resource, whether the patent behaviors of Chinese enterprises exist the phenomenon of dissimilation that deviate from original intention of technological innovation and market competition? Does the company's capability to create, utilize and protect patents really helps the improvement of competitiveness? This is a common concern of academics, governments and businesses in the last decade. This paper makes an empirical analysis on the relationship between the R&D intensity and patent application motivation, as well as the patent ability and the enterprise performance by using 219 intellectual property advantages/demonstration enterprises of Shenzhen as the full samples. Research results show that, in sample enterprises, the R&D intensity positively affects application motivation of patents which are higher degree related to technological innovation. The patent capability, on the whole, has a significant positive impact on enterprise performance. However, there are significant differences in the impacts of patent creation capability, utilization capability and protection capability on enterprise performance, which reveals that current patent policy needs to be adjusted accordingly.
Under the constraints of external policy and internal resource, whether the patent behaviors of Chinese enterprises exist the phenomenon of dissimilation that deviate from original intention of technological innovation and market competition? Does the company's capability to create, utilize and protect patents really helps the improvement of competitiveness? This is a common concern of academics, governments and businesses in the last decade. This paper makes an empirical analysis on the relationship between the R&D intensity and patent application motivation, as well as the patent ability and the enterprise performance by using 219 intellectual property advantages/demonstration enterprises of Shenzhen as the full samples. Research results show that, in sample enterprises, the R&D intensity positively affects application motivation of patents which are higher degree related to technological innovation. The patent capability, on the whole, has a significant positive impact on enterprise performance. However, there are significant differences in the impacts of patent creation capability, utilization capability and protection capability on enterprise performance, which reveals that current patent policy needs to be adjusted accordingly.
引文
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[24] 吴佳晖,袁晓东.军工企事业单位知识产权能力对创新绩效的影响研究[J].管理学报,2017,14(11):1700-1707.
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[31] Peterson R A.A meta-analysis of Cronbach's coefficient alpha[J].Journal of Consumer Research,1994,21(2):381-391.
[32] Fornell C,Larcker D F.Structural equation models with unobservable variables and measurement error:Algebra and statistics[J].Journal of Marketing Research,1981,18:382-388.
[2] 国家知识产权局.2017中国专利统计数据[EB/OL].http://www.iprdaily.cn/news_18125.html.
[3] Rassenfosse G D.A policy insight into the R&D-patent relationship[J].Research Policy,2009,38(5):779-792.
[4] Huang W C,Lai C C,Chen P H.International R&D funding and patent collateral in an R&D-based growth model[J].International Review of Economics & Finance,2017,(51):545-561.
[5] Granstrand O.Strategic management of intellectual property[J].Technovation,2004,45(3):35-40.
[6] 詹爱岚,翟青.中国专利激增动因及创新力研究[J].科学学研究,2013,31(10):1504-1511.
[7] Fontana R,Nuvolari A,Shimizu H,et al.Reassessing patent propensity:Evidence from a dataset of R&D awards,1977-2004[J].Research Policy,2013,42(10):1780-1792.
[8] Arundel A,Kabla I.What percentage of innovations are patented?Empirical estimates for European firms[J].Research Policy,1998,27(2):127-141.
[9] Blazsek S,Escribano A.Patent propensity,R&D and market competition:Dynamic spillovers of innovation leaders and followers[J].Journal of Econometrics,2016,191(1):145-163.
[10] Makadok R.Can first-mover and early-mover advantages be sustained in an industry with low barriers to entry/imitation?[J].Strategic Management Journal,2015,19(7):683-696.
[11] Conley J G.Value articulation:A framework for the strategic management of intellectual property.[J].California Management Review,2013,55(4):102-120.
[12] Pisano G P,Teece D J.How to capture value from innovation:Shaping intellectual property and industry architecture[J].California Management Review,2007,50(1):278-296.
[13] 池仁勇,潘李鹏.知识产权能力构成、内外影响因素与企业成长——内力驱动,还是外部推进?[J].科学学研究,2016,34(1):81-88.
[14] Shrestha S K.Trolls or market-makers?An empirical analysis of nonpracticing entities[J].Columbia Law Review,2010,110(1):114-160.
[15] 文家春,朱雪忠.政府资助专利费用对我国技术创新的影响机理研究[J].科学学研究,2009,27(5):686-691.
[16] Somaya D.Patent strategy and management:An integrative review and research agenda[J].Journal of Management,2012,38(4):1084-1114.
[17] 宋河发,穆荣平.知识产权保护强度与我国自主创新能力建设研究[J].科学学与科学技术管理,2006,27(3):97-103.
[18] Hu A G,Zhang P,Zhao L.China as number one?Evidence from China's most recent patenting surge[J].Journal of Development Economics,2016,124:107-119.
[19] 肖延高.知识产权能力与企业竞争优势[M].北京:知识产权出版社,2011:87.
[20] Ginarte J,Park W.Determinants of patent rights:Across-national study[J].Research Policy,1997,26(3):283-301.
[21] Penin J.Patents versus ex post rewards:A new look[J].Research Policy,2005,(34):641-656.
[22] Li W.Can intellectual property rights protection and governmental R&D investment promote chinese enterprises’ R&D investment?[J].Knowledge Management Research & Practice,2017,15(4):551-559.
[23] Lee J M,Joo S H,Kim Y.The complementary effect of intellectual property protection mechanisms on product innovation performance[J].R&D Management,2018,48(3):320-330.
[24] 吴佳晖,袁晓东.军工企事业单位知识产权能力对创新绩效的影响研究[J].管理学报,2017,14(11):1700-1707.
[25] Agostini L,Filippini R,Nosella A.Protecting intellectual property to enhance firm performance:Does it work for SMEs?[J].Knowledge Management Research & Practice,2016,14(1):96-105.
[26] Penrose E T.The Theory of the Growth of the Firm[M].Wiley,New York,1959:57.
[27] Barney J B,Wright M,Ketchen D J.The resource-based view of the firm:Ten years after 1991[J].Journal of Management,2001,27(6):625-641.
[28] Mason E S.The Harvard department of economics from the beginning to world war II[J].Quarterly Journal of Economics,1982:383-433.
[29] Bain J S.Industrial Organization (2nd ed.) [M].New York:John Wiley and Sons,1968:73.
[30] Ferguson P R,Ferguson G J.Industrial Economics.Issues and Perspectives[M].London:Macmillan,1994:103.
[31] Peterson R A.A meta-analysis of Cronbach's coefficient alpha[J].Journal of Consumer Research,1994,21(2):381-391.
[32] Fornell C,Larcker D F.Structural equation models with unobservable variables and measurement error:Algebra and statistics[J].Journal of Marketing Research,1981,18:382-388.