摘要
本文将专利策略纳入分析视野以揭示联盟动机影响企业创新绩效的过程特征。通过对企业联盟动机、专利策略、创新绩效等概念界定,阐释了联盟动机、专利策略与企业创新绩效间的作用关系,依此建立联盟动机、专利策略与企业创新绩效关系的分析框架,在分析了联盟动机对企业专利策略选择作用机理的基础上,阐述了企业因不同动机所采取的专利策略组合如何促进其联盟动机向创新绩效的转化,以期为企业的联盟时机把握、联盟伙伴选择、专利策略制定,进而促进其绩效提升提供理论基础。
首先,结合已有研究对联盟动机、专利策略及企业创新绩效进行概念界定。依据企业的技术水平和市场地位建立联盟动机的综合性分析框架,从技术动机、市场动机和技术+市场的动机组合等方而对企业的联盟动机和意愿加以区分；借鉴Somaya (2012)建构的专利策略分析框架以及相关学者结合专利指标对企业专利策略的区分,形成本文侧重考察的专利策略；从创新效率和创新产出两方面对企业的创新绩效加以界定；在上述概念界定的基础上,揭示了联盟动机如何影响企业的专利策略选择以及企业因不同动机所采取的专利策略组合如何其创新绩效目标的实现,基于上述分析提出联盟动机影响专利策略选择、不同联盟动机下专利策略组合影响企业创新绩效的研究假设。
其次,以全球信息技术产业技术联盟为样本,由MERIT-CATI数据库获取联盟数据,初选信息技术产业联盟中参与度较高的企业作为样本企业,结合英国商业创新和技能部发布的《研发记分牌：全球研发支出1000强报告》对初选的样本企业进行筛选以确定最终样本企业。依据联盟动机的区分,利用文本挖掘技术提取样本企业考察期各期所参与的技术联盟信息,结合联盟动机的关键词词库对样本企业的联盟动机进行量化,将各期内不同动机所占比重视为其动机强度,进而衡量其联盟动机；经由《研发记分牌：全球研发支出1000强报告》获取样本企业的研发支出、销售额以及市值等数据；由USPTO检索得到样本企业考察期内所获发明专利授权数据,一方面将其作为联盟企业的专利产出衡量的创新绩效,另一方而结合专利策略界定,借助HHI指数、专利技术领域变化、技术许可以及技术标准确立等对样本企业的专利策略加以量化；在联盟动机、专利策略和企业创新绩效等关键变量测度和量化的基础上,对上述核心变量进行描述性统计分析和相关性分析。
第三,利用二元选择回归模型检验了联盟动机对企业专利策略选择的影响,汇总各种动机下联盟企业所侧重选择的专利策略,将其作为后续企业因不同动机所采取的专利策略组合对其创新绩效的实证检验的基础。考虑到不同企业联盟动机存在的差异,将不同动机类型的企业分类,利用非平衡面板数据回归模型和负二项回归模型实证检验企业因不同动机所采取的专利策略对其创新绩效的作用效果。由上述计量模型的回归分析得到,企业的联盟动机促进其专利策略的选择,且联盟企业所选择的专利策略呈现出一定的规律性,不同企业所选择的专利策略与其联盟动机及技术水平、市场能力高度相关：企业因不同动机所建立或参与的技术联盟借助专利策略组合的实施影响其创新绩效,这种作用效果不仅受到其联盟动机的驱动、努力方向的引导,还取决于其技术水平、市场地位等。
Bring the patent strategies into analysis, this study aims at unveil the black box between the relationship between alliance motivation and firms'innovative performance. Based on the conceptual definition of firms' alliance motivation, patent strategy and innovative performance, this study illustrates the relationships among alliance motivation, patent strategy and firms' innovative performance, and constructs the analytical framework among the three key factors. After analyzing the influencing mechanism of alliance motivation on firms'choice of patent strategies, this study explains how the patent strategy mix enhances the transformation from alliance motivation to firms' innovative performance, in hope to set theoretical basis on the firms' alliance opportunity, choices of partners, patent strategy decision-making and the enhancement of innovative performance.
First, this study defines alliance motivation, patent strategy and firms' innovative performance on the basis of existing studies, and then constructs the comprehensive research framework of alliance motivation based on the technological capability and market position, and differentiates the alliance motivation or intension into technological motivation, market motivation and technological+market motivation; according to the analytical framework of patent strategy established by Somaya and some other scholars, this study distinguishes among different patent strategies; at last, defines the firms' innovative performance into innovative efficiency and innovative output. With the definition above, this study then uncovers how alliance motivation influences firms" choice of patent strategies, and how the patent strategy mix enhances the realization of innovative performance, and then proposes two sets of hypothesis.
Second, take the technological alliance of global IT industry as the sample, this study extracts the alliance data from MERIT-CATI Database, from which the firms with higher participation in the alliance in IT industry were selected, and combines the R&D Scoreboard released by the BIS of UK, this study finally chooses72firms with higher participation and R&D intensity as sample firms. In terms of the division of alliance motivation, text mining technique is applied to extract the alliance information of sample firms in the research period, and quantifies the alliance motivation of sample forms based on the key words, and use percentage of different motivation to denote alliance motivation; accesses the R&D expenditure, sales and market capitalization data from the R&D Scoreboard of BIS; retrieves the granted patents of invention of the sample firms from USPTO, on one hand to use it as the patent output of alliance firms, on the other, with the definition of patent strategy, the granted patent data is applied to quantize firms' patent strategies together with HHI index, the changes in patenting technological area, patent license, cross-license and also the technological standard. With all these key indicators quantized, descriptive analysis and correlation analysis is conducted.
Third, binary choice model is used to test the impact of alliance motivation on firms' choice of patent strategy, and then summaries the strategies alliance firms would choose, which is then applied as the basis of empirical test of the relationships between alliance motivation, patent strategy and firms' innovative performance. Considering the different alliance motivation among firms, this study classifies the sample firms into different groups according to their motivation. Unbalanced panel data model and negative binomial model are used here to check to effect of patent strategy and alliance motivation on firms' innovative performance. Based on these empirical analysis, this study finds that the alliance motivation enhances the choice the patent strategies, and the strategies firms chose demonstrates some regularity, that is the choice of firms' patent strategies is highly related to its alliance motivation, technological capability and market position; the technological alliance firms constructed or attended influenced its innovative performance by virtue of patent strategy mix, and the effect not only depends on the drive of alliance motivation and the direction of effort, but also firms' technological capability and market position.
引文
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