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2022

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【论文速递】专利合作网络影响科技型中小企业创新绩效的机理研究


摘要:研究结合ICT产业及制药产业上市科技型中小企业专利合作数据,基于网络特征差异及多元回归分析来探索和验证专利合作网络对企业创新绩效的影响。研究发现基于合作广度和深度不同组合的四种专利合作网络模式中,虽然高合作广度低合作深度、低合作广度高合作深度以及高合作广度高合作深度三种专利合作网络模式均正向影响企业创新绩效,但存在不同程度的曲线效应作用差异。企业网络能力在不同模式专利合作网络和企业创新绩效之间发挥完全中介效应,企业吸收能力在不同模式专利合作网络通过网络能力影响企业创新绩效过程中存在调节效应的作用差异。提出科技型中小企业通过优化专利合作行为来动态调整专利合作网络进而提升企业创新绩效的突破路径。

研究打破以往对专利合作进行整体网络研究的范式,创新性开展基于自我中心网络的科技型中小企业专利合作网络-关键能力-创新绩效的探索性研究。结合ICT产业及制药产业485家上市科技型中小企业5169个合作发明专利数据,基于四种专利合作网络模式界定,探索不同模式专利合作网络对企业创新绩效的影响,解析网络能力和吸收能力在专利合作网络影响创新绩效中的作用机理。结论与讨论如下:

第一,不是所有模式专利合作网络都能提升科技型中小企业创新绩效,不同模式专利合作网络对企业创新绩效的影响存在曲线效应差异。高广度低深度的“探索型专利合作网络”中,科技型中小企业虽然与大量外部主体广泛专利合作,但合作不深入导致技术空心化,短期很难提升创新绩效,但长期会弥补企业创新资源的匮乏而逐步提升创新绩效。低广度高深度的“利用型专利合作网络”中,科技型中小企业与少量合作主体开展高频次专利合作,短期有利于形成核心技术促进创新绩效增长,但长期与单一主体重复合作造成技术路径依赖导致创新绩效增速放缓甚至下降。低广度低深度的“松散型专利合作网络”因无法有效获取外部资源和累积技术能力从而不能提升科技型中小企业创新绩效。只有高广度高深度的“紧密型专利合作网络”,科技型中小企业既通过拓宽专利合作范围获取更多异质创新资源,又通过深化合作频次来增强创新资源成熟度和核心技术累积,从而形成持续提升创新绩效的成长路径。由此可见,那些已经开展广泛专利合作的科技型中小企业还需要加强合作频次开展更深层次合作,而与少量合作主体开展深入合作的科技型中小企业也需要不断拓宽专利合作资源,通过平衡发展和动态调整专利合作行为才能持续有效提升创新绩效。

第二,研究解析了专利合作网络影响科技型中小企业创新绩效的作用机理,指出网络能力和吸收能力是平衡发展和动态调整科技型中小企业专利合作行为的关键能力。由于网络能力在探索型、利用型和紧密型专利合作网络对创新绩效的影响中起完全中介效应,说明科技型中小企业在开展专利合作过程中必须加强网络能力建设,应根据专利合作网络开放度构建相适应的网络位置和网络关系,处于中心位置的企业不仅具有较多的外部连接,而且可以通过高合作频次加强相互信赖和互惠,从而通过专利合作获取多元异质的创新资源。研究进一步分析了吸收能力调节效应的作用差异,指出吸收能力调节效应在探索型专利合作网络中不显著,但在利用型专利合作网络中显著,在紧密型专利合作网络中部分显著。说明吸收能力与专利合作网络之间存在一定适应性,只有在特定的网络中提高吸收能力才能提升创新绩效。利用型专利合作网络中,由于科技型中小企业与其他主体的频繁合作及专利信息密集共享,无论企业吸收能力强弱均能放大专利合作网络通过网络能力对企业创新绩效的积极影响。紧密型专利合作网络中,只有具有较强吸收能力的科技型中小企业才能有效转化广泛且密集的专利资源。而在探索型专利合作网络中,由于科技型中小企业需要识别、消化、转化及应用的专利合作信息及知识数量多且内容分散,无论企业吸收能力强弱均不能放大专利合作网络通过网络能力对企业创新绩效的积极影响。可见吸收能力强的科技型中小企业适合通过利用型或紧密型专利合作网络来提升创新绩效,但不推荐采用探索型专利合作网络来提升创新绩效。

第三,研究提出科技型中小企业通过优化专利合作行为来动态调整专利合作网络进而提升创新绩效的突破路径。由于利用型专利合作网络中网络能力的中介效应和吸收能力的调节效应显著大于其他网络,说明科技型中小企业可优先选择低广度高深度的利用型专利合作网络,注重培育并形成与组织匹配且随外部环境变化动态调整的网络能力和吸收能力,积极占据网络最优位置,加强组织内外部互动沟通,进一步拓展网络合作节点进行合作范围扩张,逐渐向高广度高深度的紧密型专利合作网络演化,实现创新绩效持续提升。而选择构建高广度低深度的探索型专利合作网络的科技型中小企业,只有通过增强网络能力构建高效的专利合作网络协同创新平台,实现各创新主体跨组织、跨领域的资源共享,进一步在合作范围和频次上双向扩张,促进知识、技术、信息的有效流动转移,逐渐向高广度高深度的紧密型专利合作网络演化,通过加强开放式创新来提升科技型中小企业创新绩效。但由于研究样本主要集中在ICT和制药产业,且主要数据来源为上市科技型中小企业,使得研究结论的代表性和普遍性有待加强。考虑到企业战略调整或市场环境变化,专利合作网络也处于一种动态变化中,未来的研究可以考虑引进时间序列,研究不同周期的企业专利合作网络动态演化规律。

 

关键词: 专利合作网络, 网络能力, 吸收能力, 创新绩效, 科技型中小企业

 

Abstract: Technology-based SMEs are important carriers of strategic emerging industries and core strength of modern industrial systems. Increasing the cultivation and support of technology-based SMEs are an important starting point for going deep into the implementation of innovation-driven development strategies. In the context of patents surging, technology-based SMEs still face bottlenecks of the lack of innovative resources. Although enterprises actively seek to cooperate with other organizations through applying for patents to establish a patent cooperation network, for integrating innovative resources, however, there are some problems. There is a hollow of internal technological innovation caused by excessive dependence on external technologies. On the other hand, there is a dilemma that it is difficult to sustain innovation due to technical rigidity. How much of the rich patent cooperation resources really transfer into a core competitive advantage that promotes the improvement of enterprises′ innovation performance? In an open network competition environment, enterprises must transform from traditional growth methods that rely on its internal accumulation to collaborative development methods that integrate external resources. So it is very important to select and embed a patent cooperation network that is compatible with the development of the enterprises, in this way it can truly promote the improvement of innovation performance. How to build a patent cooperation network that adapts to the growth of the enterprises? How to cultivate the key capabilities to achieve the transformation of patent cooperation resources to internal core competitiveness? How to adjust the evolution path of the patent cooperation network dynamically to achieve a breakthrough in the growth bottleneck? These are the key issues that need to be discussed and solved in the study of the use of patent cooperation networks to promote the sustainable growth of technology-based SMEs. But the unsatisfactory situation is, the existing researches are not deep enough on some aspects, such as how to choose different modes of enterprise patent cooperation networks, and how to establish a coordination mechanism between cooperative enterprises to improve the innovation performance of enterprises.

This research used 5,169 effective cooperative invention patent data from 485 listed technology-based SMEs in the ICT industry and the pharmaceutical industry, constructing four patent cooperation networks modes by different combinations of patent cooperation breadth and depth, which are: "compact type" (high-breadth & high-depth), "exploration type" (high-breadth & low-depth), "utilization type" (low-breadth & high-depth) and "loose type" (low-breadth & low-depth). Based on network characteristics differences and multiple regression analysis, this study explores and verifies the impact of patent cooperation networks on corporate innovation performance.

This study draws some important research results. The study found that in the four patent cooperation network modes based on different cooperation breadth and depth, the "compact type" mode patent cooperation network affects innovation performance of enterprises positively without curve effect; the "exploration type" mode affects innovation performance of enterprises positively, and has "U" shape curve influence effect; the "utilization type" mode affects innovation performance of enterprises positively, with an "inverted U" shape curve effect; the "loose type" mode affects innovation performance of enterprises negatively. 

The study further explores the influence mechanism of different modes patent cooperation networks on enterprise innovation performance by analyzing enterprise network capability and absorptive capability. Enterprise network capability plays a full mediating effect between three modes and enterprise innovation performance, the three modes are: "compact type", "exploration type" and "utilization type". Enterprise absorption capacity has different effects on moderating in the process of different modes of patent cooperation networks affecting innovation performance through network capability. 

The research proposes a breakthrough path for technology-based SMEs to dynamically adjust the patent cooperation network and improve the innovation performance by optimizing the patent cooperation behavior: The first is to optimize the patent cooperation network mode. Technology-based SMEs should focus on strengthening their links with other entities from the view of breadth and depth of cooperation. Priority should be given to selecting effective cooperation entities, and actively constructing a "utilization type" patent cooperation network by increasing the frequency of cooperation and deepening the use of resources. Moreover, on the basic of fully possessing an excellent cooperation mechanism, the scope and frequency of cooperation should be expanded in two directions, and the model will be transformed into a "compact type" patent cooperation network mode. For other enterprises, the transformation from the "exploration type" to the "compact type" patent cooperation network can also be considered under some conditions, such as the government′s cultivation and support. 

The second is to focus on cultivating the dynamic network capability of enterprises. Technology-based SMEs need to use key capabilities to balance the degree of embedding different types of patent cooperation subnets. At the same time as patent cooperation develops, it is necessary to form a dynamic network capability that matches the organizational changes and adjusts to the changes of the external network environment. By actively embedding to occupy the optimal position in the network, and strengthening interaction through effective communication, technology-based SMEs should effectively identify and integrate the information possessed by the external network, and jointly promote the establishment of cooperation. 

The third is to enhance the absorption capacity by enterprises investing according to external resources. Enterprises should enhance their absorptive capacity by cultivating and introducing high-end talents, strengthening internal research and development capabilities, promoting the effective flow of knowledge within the organizations and building a learning culture. When the depth of cooperation between enterprises is low, we should focus on the ability to coordinate and match. While developing the absorptive capacity, attention should be paid to moderate openness, which makes the organic combination of enterprise resource openness and external knowledge absorption. So as to promote the core competitive advantage, we need to work on both inside and outside. 

The fourth is to build an efficient patent cooperation network collaborative innovation sharing platform. The sharing platform should be built and cultivated from the government level. The government should introduce sharing cooperation policies and mobilize various innovation entities for resource sharing. In this way, the effective flow of knowledge, technology and information is promoted. Also, it helps to achieve the value-added knowledge and enhance the innovation performance of technology-based SMEs through more efficient patent cooperation networks. 

 

Key words: patent cooperation network, network capability, absorption capacity, innovation performance, technology-based SMEs

 

文章作者:王黎萤,吴瑛,朱子钦,宋秀玲   

作者单位:浙江工业大学

中国中小企业研究院

清华大学 经济管理学院

全文已刊发在《科研管理》2021年第1期

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