中国嵌入全球价值链对绿色技术创新的影响

在对全球价值链嵌入影响绿色技术创新特质、机理、异质性、滞后性与动态效应进行理论分析的基础上，运用2008-2018年中国内地25个省份面板数据，测度中国各省份全球价值链嵌入对绿色技术创新的影响。结果发现：(1)从全国层面看，绿色技术创新是一个动态演化、循序渐进的过程，嵌入全球价值链对绿色技术创新具有显著促进作用，但这种影响存在逐渐减弱的滞后性；(2)从时间层面看，嵌入全球价值链对绿色技术创新的影响具有显著时间差异性，伴随着中国自主创新水平提升和环境规制力度加大，以及发达国家逆全球化趋势盛行，近年来嵌入全球价值链对绿色技术创新的影响日渐减弱；(3)从地区层面看，嵌入全球价值链对绿色技术创新的影响具有显著地区差异性，中西部地区嵌入全球价值链对绿色技术创新的影响比东部地区更明显。据此，提出进一步优化全球价值链嵌入度、扩大全球价值链溢出效应、缩小不同地区间技术差距等政策建议。     

专利转化特征精准识别与预测——以人工智能芯片为例

探讨前沿科技领域专利转化特征并对其进行精准识别与预测，对于我国破解“卡脖子”技术难题及实现科技自立自强具有重要意义。选取人工智能芯片专利领域，采用机器学习算法测度最优转化预测方案，分析全球范围内主要国家或地区专利成功转化影响因素，从企业/高校、国内/国际等不同层面总结专利成功转化的主要特征。结果发现：随机森林算法预测效果较好，人工智能芯片领域专利转化概率服从对数曲线分布，影响高校/企业、国内/国外专利转化特征的因素有所不同。最后，提出高校/科研机构应注重高价值专利维持和团队合作、企业应提升专利技术质量和撰写质量等政策建议。     

Human capital inflow,firm innovation and patent mix

In this article, a theoretical model of heterogeneous firms is built that emphasizes how human capital inflow (HCI) affects a firm’s innovation. The model shows that when HCI increases, the cost of a firm’s innovation decreases, the relative innovation efficiency gap between any two patents decreases, and the quality of each existing patent increases, which makes firms produce more patents, improve the quality of innovation and reduce the skewness of the patent mix. Empirical tests with data from Chinese Listed Companies are consistent with the predictions of the theoretical model, and robust to various estimation specifications. Moreover, the impacts of HCI vary across different types of patents, that is, both the quantity and quality of invention patents increase with HCI, while the skewness of the patent mix decreases. However, there is no evidence that HCI influences utility model patents.     

Collaboration expectation gaps,transparency and integrated NPD performance: A multi-case study

This paper explores the implications of what happens when a buying firm's desired and realized levels of collaboration differ in the context of an integrated new product development (NPD) project. Using analysis of six case studies, we observe varying levels of such collaboration expectation gaps (CEG) and conclude that these gaps can impact NPD project performance. In addition, collaboration transparency is established when a firm and its partner firm comprehend the factors (benefits, risks, costs) that motivate collaboration between them. We observe that the presence of collaboration transparency impacts the emergence of CEG across the phases of an NPD project. These findings extend existing theory on buyer-supplier relationships in NPD projects and introduce CEG and collaboration transparency as important concepts in understanding improved collaboration performance.     

专利权保护如何精准激励创新——以美国专利法中政策杠杆理论为切入点

专利权保护的发明创造所涉及行业日益复杂，精准激励不同行业的创新显得至关重要。美国学者主张法院应当灵活适用司法政策杠杆调节不同行业的激励机制，以避免激励不足或者激励过度。以政策杠杆理论为分析工具，研究发现：我国专利法中存在类似于美国的司法政策杠杆，还存在明确规定了特定于某些行业而适用的法定政策杠杆。司法政策杠杆的适用具有不确定性，可通过合理的法定化路径实现适用的确定性与可预见性，从而使我国专利法中的政策杠杆发挥精准激励不同行业创新的功能。     

简明标签与第二医药用途专利侵权认定：从规范构造到标准选择

第二医药用途发明可被专利已成为世界立法趋势。中国现有立法中狭义的第二医药用途专利可以获得专利保护。英美司法实践发展出主观意图测试、客观意图测试和外在表现测试3种侵权认定标准，分别对应过错和无过错侵权原则。中国需在原研药创新、仿制药产业和药品可及性三元平衡视角下，选择综合进路。在第二医药用途专利直接侵权认定标准上，应坚持无过错标准，仅考虑仿制药厂的简明标签行为是否符合法定要求，以此判断是否落入第二医药用途专利保护范围。在间接侵权认定上，应坚持过错标准和因果考察。     

Outsidership,network positions and cooperation among internationalizing SMEs: An industry evolutionary perspective

Immigrant entrepreneurship, like other market entries, continues to be examined in most studies as an event, and not as a process of ongoing interactions and exchanges that would adequately address the influence on such a transition of collaborative engagements and of industry evolution in the host market. Adopting an industry evolutionary perspective, we examine the facilitating role played by cooperative strategies among immigrant-run SMEs. Using a small number of valued customer and competitor relationships, we draw from case studies to show how both immigrant and native run SMEs gain knowledge and resources through collaborative engagements to extend into new customer segments. These relationships enable them to mitigate their outsidership by adopting positions on the edges of networks that allow them to avoid competing directly against other internationalizing SMEs abroad or in their home markets. Using context to build an industry evolutionary perspective, we observe their entry into collaborative engagements with intermediaries in other business networks to build additional industry segments in the less understood maturing industry phase. This study shows how native-run Italian internationalizing SMEs accessed the resources of immigrant Chinese business networks and developed capabilities for mutual benefit.     

专利惩罚性赔偿构成要件的适用控制与解释进路

修改后的《中华人民共和国专利法》（以下简称《专利法》）自2021年6月1日起施行，其正式引入了惩罚性赔偿制度。在专利惩罚性赔偿制度建立之后，当下的重点应是在民法典和专利法确定的框架内解决司法适用中的进阶性问题，并在法教义解释中推动制度落地。基于域内外双向视角，运用多种法律方法释明以“故意”为表征的主观要件并细化以“情节严重”为要义的行为要件，分析比较基数计算的不同方法、倍数确定的实践要素以及惩罚性赔偿与法定赔偿的适用关系。分析发现，基于利益衡量考量应将主观状态限定为“故意”并作出合理解释，发挥FTO（FreetoOperate,专利自由实施分析）的作用以限制“故意”的适用范围。同时，在区分认定要素和赔偿要素的前提下对“情节严重”作出整体判断。在计算基数时合理考虑“差额利润法”的适用空间，在倍数确定时主客观双向考量实践因素，并将法定赔偿定位为纯粹的补偿性赔偿。解释论路径下构成要件的适用控制应当秉持积极审慎的司法原则，适时调适司法实践与专利政策的互动关系，实现要件之间的功能分隔与适法统一。     

Social credit and patent quality: Evidence from China

We combine the discredited people database disclosed by the China People’s Supreme Court and the China industry business performance database from 2003 to 2014 and examine the effect of regional social credit on the quality of patents, measured by knowledge breadth. We find that a loss of social credit can result in a significant decline in patent quality. The result remains robust to a series of sensitivity checks, including using the alternative measures of key variables and exploiting the number of missionary universities established since the Opium War as an instrument for social credit. The possible mechanisms for the effect of social credit on patent quality are further verified, including attenuating external financing constraints and enhancing the innovation incentive.     

资质认定型创新政策能否促进企业技术创新“增量提质”——来自国家认定企业技术中心政策的证据

作为突破关键核心技术和引领行业技术进步的重要载体,国家认定企业技术中心政策对于经济转型背景下企业创新水平提升是否发挥有效作用及其作用机制值得深入研究。文章利用国家认定企业技术中心政策作为准自然实验,基于2006—2018年中国A股上市公司数据进行实证研究。研究发现,国家认定企业技术中心政策显著提升了以发明专利申请数度量的创新数量及以专利知识宽度衡量的创新质量,具有明显的"增量提质"特征。异质性分析表明,这一促进作用在企业属于国有企业、高新技术行业和所处市场化程度更低时更为明显。影响机制发现,国家认定企业技术中心政策作用于企业技术创新的路径依赖于其能够为企业嫁接财务资源、发挥人才集聚和产学研合作效应。拓展性研究表明,国家企业技术中心认定政策通过知识溢出发挥创新引领示范作用。文章对国家夯实国家认定企业技术中心政策的成果,完善关键核心技术攻关的新型举国体制提供了政策参考。