股票流动性与中国企业创新策略:流水不腐还是洪水猛兽？

中国情境下股票流动性对企业创新的影响是激励机制还是压力机制占主导地位？本文基于上市公司分类专利的申请、授权、终止数据研究发现:一方面,股票流动性使企业发明专利申请显著增加,但能通过实质审查的授权增长极少,说明申请质量明显下滑;另一方面,股票流动性使创新含量较低的实用新型与外观设计授权显著增加,且这些专利拖累了企业盈利表现,法律效力提前终止的数量也明显更多,揭示企业实际上是以“策略性创新”来应对资本市场压力,加剧了“专利泡沫”问题。分样本检验发现,“重数量轻质量”的创新策略集中体现于民营、传统行业及长期机构投资者持股较少的企业。稳健性检验替换关键指标构造和模型估计方法、构造工具变量克服潜在内生性问题,前述结论仍然成立。本文启示,金融制度设计应防范资本市场压力对企业创新的“意外伤害”,更好地实现“以金融助实体、以改革促发展”的目标。     

IMPACT ON FIRMS OF THE USE OF KNOWLEDGE EXTERNAL SOURCES: A SYSTEMATIC REVIEW OF THE LITERATURE

This study summarizes the main conclusions from a systematic review of the empirical literature regarding the impact on firms of the use of knowledge external sources (universities, research institutes and knowledge intensive business services). With the aim to organize the literature, we classify the different works according to the research question addressed: (i) which firms use knowledge external sources?; (ii) Do firms using knowledge external sources achieve better results?; And (iii) which firms benefit the most from using knowledge external sources? Stylized facts are that larger, more R&D intensive and high tech firms are more likely to use knowledge external sources and that use of knowledge external sources is associated to firms higher technical results. Less attention has been paid to the third question and evidence is not conclusive. Several recommendations for future research emerge. First, to take in greater consideration methodological issues so that potential biases in the results caused by sample selection and endogeneity are handled properly. Second, to pay more attention to heterogeneous outcomes. Third, to use continuous indicators of depth and breadth of links allowing for non‐linear relationships and fourth, to extend evidence for developing countries and service industries.     

专利联营对外许可冲突：焦点、国际化解经验及改善路径

专利联营是国家技术转移体系基础架构的有机组成部分,也是高新技术产业的重要技术来源。随着技术进步和创新主体的多样化发展,专利联营核心专利组合的市场价值能否实现已经成为专利联营对外许可冲突的焦点。以专利联营对外许可冲突焦点为研究对象,建立合作博弈模型,得出被许可人获得许可后的经济利益净增值、专利联营的对外许可费底线和被许可人缴纳的许可费底线是影响专利联营核心专利组合市场价值实现的3个重要关联因素。通过借鉴国际活跃专利联营的先进经验,指出核心专利质量不高、对外许可效率低下是本土专利联营核心专利组合市场价值无法实现的主要障碍。在此基础上,立足专利联营供给侧角度,从自主创新能力、政产学研合作和人力资源建设3个方面提出本土专利联营满足被许可人需求、化解对外许可冲突的有效路径。     

Identification of technological structures using patent statistics

This paper studies the use of patent statistics in identifying four aspects of technological structure, namely, the potential knowledge pool, cumulativeness, inter-firm homogeneity in technology levels, and the scope of innovations. The firms are sampled from the chemical (CHEM), the computer (COM) and the electrical and electronic (EE) industries worldwide. Using the proxies defined, we find that (i) the contributions of intra-industry spillover are low, at 12%, 10%, and 9% for the three industries respectively; (ii) they can internalize 15%, 19% and 13% of their previous research efforts respectively; and (iii) a positive relationship between knowledge spillover and technology overlap, and between scope of innovation and number of patents being cited in future.     

On the Differential Effects of European Patents

Since the invention of the European Patent System, national patent systems have continued to co-exist, although they did lose appeal. How have the different national systems been affected in view of their characteristics? In order to answer this question a constant-market-share (CMS) analysis is carried out. While on a theoretical level, the different elements adding to the appeal of each patent system are discussed, the CMS-analysis reveals the importance of country size in that the national systems of smaller countries lose.     

供应链合作关系对供应链绩效的影响——基于长三角企业的实证研究

供应链合作关系中的信任和未来期许均对于供应链运作绩效中的产品质量和客户服务水平具有正向影响作用,而对于产品具有负向作用。但是供应链合作关系中的合作意愿仅仅对于产品质量和客户服务水平具有正向影响作用,但是对于成本的影响没有通过原来的假设。因此对于企业而言,要提高供应链运作绩效的水平,应综合考虑供应链合作关系的维度,可根据实际情况加强各种合作行为,全面提升双方合作的绩效。     

专利政策融入产业经济发展路径分析：来自江苏专利政策的实证研究

以江苏专利政策为研究对象,运用内容分析法,对专利政策融入产业经济发展路径进行分析,指出江苏专利政策融入产业经济发展以“点式政策路径”为表征,未围绕产业诉求布局创新链,缺少金融链和服务链支撑。鉴于此,结合构建协同组织机制和链式政策路径升级设计思路,提出江苏专利政策融入路径效能提升的对策建议,以发挥专利对江苏省产业经济发展正资产、正能量的作用。     

基于专利信息的产业技术竞争优势测度模型构建与实证研究

提出产业技术竞争优势的概念,并探讨其规模-质量-价值三维模型和测度指标体系;构建产业技术竞争优势指数,利用熵值法设置权重,采用合成指数法计算产业技术竞争优势指数。以世界生物医药产业主要国家（中、美、德、日）1996-2016年样本数据进行实证研究。结果表明：中国生物医药产业技术竞争优势指数及分指数总体保持上升趋势,其中规模指数增长较快,价值指数次之,质量指数发展居于末位;美国、日本和德国竞争优势指数相近,均具有较强的竞争优势;中国产业技术竞争能力处于劣势地位,规模维度方面中国与其它三国差距较小,价值维度差距次之,质量维度差距较大。     

面向社会网络的团队间创业协同关系结构与效应研究

在多团队创业协同构成的开放式创新关系中,团队间依托社会网络衍生出的松散、去中心及非系统合作问题普遍存在,关注该协同关系的结构与效应能为探究少数占据结构洞优势团队的关联结构、能力延展及策略均衡问题提供崭新视角。通过解析少数占优团队在创业过程中的资源边界拓展、学习型改造与竞合优势转换等问题,从社会网络在节点、节点间、节点关系聚合层面形成的协同能力、角色与位势3个维度,归纳剖析团队间创业协同能力、角色与知识位势的网络构成,梳理提炼其呈现的合作网络边界扩张、协同策略结构性变革及部分要素外部效用突破性涌现效应。与快速协作响应、持续冲突协调及共同绩效相关的结论能为认识“开创事业”导向下松散合作关系中的知识/角色/能力差序作用格局提供分析框架,对评价与优化非全要素创新或非全过程创业中优势主体间的交互治理具有参考价值。     

创新驱动背景下我国专利主张实体扩张防范策略研究

自2008年“高智发明”案件起,非专利实施体与专利主张实体的概念在我国引起广泛关注。通过厘清非专利实施体与专利主张实体之间的关系,分析专利主张实体发展与正常专利运营模式之间的差异,进而研究其商业模式对于我国创新驱动发展战略带来的挑战与风险。在借鉴与吸收美国、日本等国防范专利主张实体、应对专利权滥用问题实践经验的基础上,针对专利主张实体扩张趋势对我国科技成果转化、专利运营以及专利法规等领域可能带来的影响提出建议与对策。