【作者】 赵莉；

【导师】 聂鸣； 曹勇；

【作者基本信息】 华中科技大学 ， 工商管理， 2012， 博士

【摘要】 专利在高新技术企业中的作用由防御性手段转变为战略性工具,专利是技术创新产出,更是技术创新的资源投入。本文以高新技术企业作为研究对象,从资源观的视角出发并结合开放式创新环境,将专利作为技术创新的资源投入,深入系统地探讨专利管理与技术创新绩效的关联关系。紧密结合中国高新技术企业专利管理与技术创新现状,在理论研究的基础上提出研究假设,构建关联模型,开发测度指标,通过大样本问卷调查收集数据,运用SPSS17.0 Amos7.0统计分析软件,对数据进行实证分析并检验理论模型,验证相关理论假设,揭示专利管理与技术创新绩效之间的关联机理。首先,系统梳理国内外研究文献,结合高新技术企业的实际界定企业专利管理与技术创新绩效的内涵、外延,简要探讨高新技术企业的范围及特点。在此基础上,简述我国高新技术企业技术创新及专利管理的现状,揭示现阶段存在的问题,为二者关联及影响因素的分析奠定基础。其次,以开放式创新环境下的技术创新为主线,深入剖析高新技术企业专利管理与技术创新绩效关联的影响因素,辨识出影响二者关联的关键因素：开放度、持续创新能力与技术锁定,并从理论层面详细分析每项因素对二者关联的影响。再次,在理论分析及前期研究基础上,从动态流程的角度构建专利管理与技术创新绩效关联模型。根据问卷调查数据,运用统计分析软件,进行探索性、验证性因子分析及信度效度检验,验证样本数据与模型的拟合,最后通过结构方程的构建与检验、层级回归分析,验证本文提出的研究假设。研究结果表明：专利获取对社会效益的正向影响显著,对经济效益的正向影响不显著；专利保护、专利商业化对经济效益的正向影响显著,对社会效益的正向影响不显著；专利获取对持续创新能力中的学习、R&D和制造能力的正向影响显著,对资源配置、营销和制度能力的正向影响不显著；专利保护、专利商业化对持续创新能力的正向影响显著；持续创新能力各维度对技术创新绩效的影响不同；技术锁定在专利管理与技术创新绩效之间具有显著的负向调节作用。然后,依据理论研究及实证结果,总结归纳高新技术企业专利管理与技术创新绩效之间的关联：开放式创新环境下,在专利管理与技术创新绩效关联模型中,专利管理各环节对技术创新绩效均具有显著的正向影响,二者之间表现为全面关联；在考虑持续发展的专利管理与技术创新绩效综合模型中,专利管理通过影响持续创新能力,进而影响技术创新绩效,二者之间表现为部分关联。最后,根据实证结果,针对我国高新技术企业的现状,揭示本文对高新技术企业专利管理和技术创新的启示性意义,为企业有效评估专利管理与技术创新绩效提供参考。通过对关联影响因素的分析,能够加强高新技术企业对有效因素的利用及不利因素的规避。认清每一环节的地位与作用,并有针对性地加强不同环节的管理,为企业通过有效的专利管理提升技术创新绩效并合理规避技术锁定提供理论支撑和方法指导。更多还原

【Abstract】 The role of patents has changed from defensive tool to strategic tool in high-tech enterprises. Patents are not only the outcomes of technological innovation, but also the resource input of technological innovation. From resource-based review and combine with open innovation, this study takes high-tech enterprises as research sample, exploring the linkage between patent management and technological innovation performance. This dissertation closely connected with the patent management status of high-tech enterprises, the linkage model is constructed on the basis of theoretical study, the measurement indicators are developed, and hypotheses are proposed. The statistical analysis software SPSS 17.0 Amos 7.0 is used to analyze the data collected from large sample survey. The theoretical model and hypotheses are tested to explore the linkage mechanism between patent management and technological innovation performance. The main contents of this paper are as follows:First of all, on the basis of systematically analysis of the literatures collected from domestic and abroad, the definitions of high-tech enterprise’patent management and technological innovation performance are defined, and the scope and characteristics of high-tech enterprises are briefly discussed. On this basis, the technological innovation and patent management status of high-tech enterprises are described. The problems of patent management and technological innovation are revealed. The entire above-mentioned are provide foundations to the analysis of influential factors.Second, take technological innovation as the main line in open innovation environment, an in-depth exploration was carried out on influential factors between patent management and technological innovation performance. Three key factors were identified: openness, continuous innovation capabilities, technology lock-in. In this dissertation, a detailed analysis of each influential factors affect the linkage between patent management and technological innovation performance was carried out.Third, on the basis of literature review, the linkage model is constructed from a dynamical process perspective. According to the questionnaires data, the exploratory factor analysis (EFA), confirmatory factor analysis (CFA), reliability and validity test are carried out through statistic analysis software to verify the fitness of sample data and the linkage model. Then, the proposed hypotheses are tested by structural equation model (SEM) and hierarchical regression analysis. The results show that patent acquisition has positive effect on societal performance, but has no positive effect on economic performance; patent protection and patent commercialization has positive effects on economic performance, but has no positive effects on societal performance; patent acquisition has positive effect on learning capacity, R&D capacity and manufacturing capacity, but has no positive effects on resource allocation capacity, marketing capacity and institustion capacity; patent protection and patent commercialization has positive effect on continuous innovation capabilities; the effect of each dimension of continuous innovation capabilities on technological innovation performance are different; technology lock-in negatively moderates the relationship between patent management and technological innovation performance.What’s more, in terms of theoretical research and empirical analysis results, the linkage between patent management and technological innovation performance in open innovation environment is concluded:in the model of patent management and technological innovation performance, every variable of patent management has positive effect on technological innovation performance, the linkage between the two behaves comprehensive; in the integrated model which considers the continuous development, patent management affect technological innovation performance by influencing the continuous innovation capacity, the linkage between the two behaves partial.Finally, according to the empirical results and combined with the status of Chinese high-tech enterprises, the implications of this study to the linkage between patent management and technological innovation performance in high-tech enterprises are delineated, and provide references to the estimation on patent management and technological innovation performance. After the analysis of influential factors, companies can be targeted to enhance the utilization of positive factors and to avoid the negative factors. At the same time, recognize the status and role of every aspect of patent management, this will help the enterprises to strengthen the management of different aspect pertinently, and provide academic underpinnings and method guidance on how to implement valid patent management to enhance technological innovation performance.更多还原