【作者】 李杨；

【导师】 曹勇；

【作者基本信息】 华中科技大学 ， 技术经济及管理， 2012， 硕士

【摘要】 随着经济全球化和市场竞争的日益加剧，已有企业意识到仅将拥有的专利技术运用在自己的产品中或是将专利技术闲置是严重的资源浪费。而对外颁布专利许可成为近年来许多企业取得竞争优势、巩固技术或产品市场地位以及获取额外的创新收益的重要策略和手段。在该过程中，考虑环境因素，不同企业倾向于采取不同的许可策略，从而获得不同的技术创新绩效。为研究专利许可策略的成因及结果，本文依据权变管理理论，通过建立含有中介变量的理论模型，考察价值独占性、专利许可策略以及技术创新绩效三者间的关系和作用机理，探讨构成价值独占性的专利保护强度和技术波动程度对企业专利许可策略和技术创新绩效的影响，以及主、被动许可策略对技术创新绩效的影响差异。最后将分析所得结论作为前提，考察不同专利许可策略在价值独占性和技术创新绩效间起到的部分或完全中介变量的功能。通过实证分析，本文得出以下结论，专利保护强度和技术波动程度分别与主动许可策略和被动许可策略正相关。无论是主动许可策略还是被动许可策略都可以促进企业技术创新绩效的提升。同时，主动许可策略在专利保护强度与企业技术创新绩效之间起到部分中介的作用；而被动许可策略在技术波动与企业技术创新绩效间起到完全中介的作用。本文基于以上结论以及对价值独占性、专利许可策略和创新收益相互性的认识，对三者的关系进行技术哲学上的思考，以期为企业实践、制度发展和技术进步提供有效的对策和建议。更多还原

【Abstract】 With the developing of economic globalization and intensified market competition,some enterprises have realized that the implement of patent technology only in their ownproducts or leaving patent technology unused is severe resource wasting. Whileout-licensing becomes a new strategy for firms to earn competitive advantages and toreinforce the status of their technology and products in market. During the process,different firms prone to diverse licensing strategy to improve their innovation performanceconsidering the factors of innovation environment.In order to research the causes and result of licensing strategies, we build a structureequation based on the contingency theory, which contains an intervening variable. In thisstructure equation, the relationship among appropriability licensing strategies andtechnology innovation performance and mechanism of action are investigated. In thismodel, the appropirability is comprised of patent protection and technological turbulence.The effects of appropriablity applying on patent strategies and technology innovationperformance are tested. Then the intermediation of patent strategies is also tested under theresults of the two above tests as premises. According to the positivistic analysis, we get thefollowing conclusions: firstly, patent protection is positively related with active strategy;secondly, technological turbulence is positively related with negative strategy, which meansboth strategies we concerned make contribution to technological innovation performance.Thirdly, the active strategy functions as a partial intermediation while negative strategyfunctions as a full intermediation. Based on the conclusions above and the cognition ofappropriability patent strategies and innovation performance, we give some advises towardregime formulation and enterprise capacity.更多还原