分层次视角下企业研发行为对专利质量的影响研究——以中国上市公司为例

摘要/Abstract

摘要： 本研究以中国上市公司1988-2017年间申请且授权的136484项发明专利为样本,分析了企业研发行为、研发领域与专利质量之间的关系。首先,从研发项目和研发领域层面构建了探索式和开发式研发行为与研发领域深度和广度的关系,并从技术边界的角度分别进行测度。其次,运用文本分析方法对专利质量进行测度。最后,分析了探索与开发之间的平衡关系,及其与研发领域深度和广度的最优组合,并探究了不同技术领域的企业研发行为对专利质量的影响差异。研究结果表明:(1)以开发为主、探索为辅的平衡方式最有利于提升专利质量;(2)研发领域广度对专利质量有负面的影响,而深度具有倒U型的影响;(3)研发领域深度和广度对开发和探索行为与专利质量之间的关系具有不同的调节作用;(4)对于不同技术领域来说,不同的研发行为对专利质量的影响存在差异。

关键词: 研发行为, 探索式-开发式, 研发领域, 专利质量, 技术边界

Abstract: This study examines the interplay between firms' R&D behavior, R&D fields and patent quality, utilizing a sample of 136,484 invention patents that Chinese listed companies applied and got approved for between 1988 and 2017. Firstly, we construct the relationship between exploration and exploitation R&D behaviors and the depth and breadth of R&D fields at both project and field levels, measured from the perspective of technology boundaries. Secondly, we apply a text analysis method to measure patent quality. Lastly, we analyze the balanced relationship between exploration and exploitation and its optimal combination with the depth and breadth of R&D fields, and explore the impact of R&D behaviors of firms under different technology fields on patent quality. The findings of this study indicate that:(1) a balanced approach with exploitation as the main focus and exploration as the supplement is most conducive to improving patent quality; (2) the breadth of R&D fields has a negative impact on patent quality, while depth exhibits an inverted U-shaped impact; (3) the breadth and depth of R&D fields have different moderating effects on the relationship between exploitation and exploration behaviors and patent quality; and (4) the impact of different R&D behaviors on patent quality differs across various technology fields.

Key words: R&D behavior, exploration-exploitation, R&D field, patent quality, technology boundary

甘静娴. 分层次视角下企业研发行为对专利质量的影响研究——以中国上市公司为例[J]. 管理评论, 2023, 35(8): 100-116.

Gan Jingxian. Research on the Impact of Firms' R&D Behavior on Patent Quality from a Hierarchical Perspective——With Chinese Listed Firms as an Example[J]. Management Review, 2023, 35(8): 100-116.

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