【作者】 张玉梅；

【导师】 吴先明；

【作者基本信息】 武汉大学 ， 企业管理， 2021， 博士

【副题名】基于国家、行业与企业层面的专利数据分析

【摘要】 全球化时代,没有一个国家可以将技术知识“禁锢”在本国,没有一个行业可以圈定技术空间,更没有一家企业可以将竞争优势局限在组织内部,“国际化”开始成为影响国家、行业与企业发展的一种传统且新颖的经营方式。特别是,中国作为典型的新兴经济体国家,已有的内生式增长难以促进经济的再发展,越来越多的企业不断“走出去”,投身全球市场。带动了技术资源在不同国家之间的流动,这一点在新兴经济体国家以寻求技术等战略资产为导向的海外扩张中体现的最为明显,技术资源的跨国界流动开始成为一种重要的国际化形式。本质上,由传统经济资源导向的国际化研究向技术资源导向的国际化研究转变的一个事实是,技术资源已经成为一种关键的生产力要素,竞争优势培育的来源在经济资源与技术资源间实现了转变。区别于传统基于经济资源的企业国际化研究范式,技术国际化描述的是技术资源跨越国家地理边界流动的现象。本文围绕新兴经济体背景下的国际化与技术发展,构建了一个国家、行业、企业多层次的“国际化”研究体系,兼顾传统企业国际化研究与新兴的技术国际化研究,尝试凝练并回答三个问题:(1)当技术开始跨越国家地理边界流动时,国家层面的技术国际化行为是否影响国家间的技术溢出?(2)技术资源的跨国界流动是否会影响行业层面技术融合现象的出现?(3)本文的意图在于构建一个多层次、全面性的国际化研究体系,作为对新兴技术国际化研究范式的有益补充,在企业层面,持续关注国际化行为是否对创新产生了影响?并对创新的内部机理进行了研究。综合采用文献研究、负二项回归、多时点双重差分回归、长短期记忆神经网络(LSTM)预测、依赖结构矩阵(DSM)可视化分析等方法,对本文关心的重点议题逐一进行分析论证。子研究一产生于国家层面。以典型的新兴经济体国家—中国为例,以2008～2018年的专利数据为研究样本,设计了一个讨论中国与发达经济体之间源于技术合作的国际化行为是否对国家间技术溢出产生影响的研究。考虑到专利数据是一种“噪音”数据,将专利数据的“去噪”操作与实证分析过程相结合是必不可缺的。以专利数据的技术属性为出发点,设计了大量契合度优良的指标,层层推进实证分析过程。研究发现:(1)在专利大数据环境下,伴随专利数据“去噪”的持续推进,技术国际化始终能够对中国与发达经济体国家之间的技术溢出产生积极影响,当采用的专利数据“纯度”更高时,国际化对技术溢出产生的积极影响更接近一个真实水平;(2)技术特征是一组关键的控制变量,是影响技术溢出的重要条件。其中,专利授予滞后、专利独特性、专利技术周期、专利显性技术优势均对技术溢出产生积极影响;专利科学性、专利技术距离对技术溢出产生消极影响;专利范围对技术溢出的影响不显著。子研究二产生于行业层面。以医药技术与生物技术行业2008～2018年的引文数据作为历史值,创建医药技术与生物技术行业全部技术领域的引文矩阵。以此为基础,利用长短期记忆神经网络对医药技术与生物技术行业“未来期”的引文数量作出预测,并借助依赖结构矩阵对预测结果进行可视化分析,目的在于观察是否有技术融合现象出现?研究发现:(1)随着时间窗口的推移,技术融合现象主要在生物技术与医药技术行业内部被观测到。其中,医药技术行业内部出现的技术融合现象发展势头平稳,在技术融合现象中起关键作用的技术领域是A61B与A61M。恰恰相反,生物技术行业内部能够被观测到的技术融合现象逐渐变少,在技术融合现象中起关键作用的技术领域是C12N。(2)当不限制技术资源的跨界流动时,发生在行业间的技术融合现能够被观测到,表明了技术资源跨越地理边界流动的技术国际化现象可能是影响行业间技术融合现象是否发生的一个关键因素。子研究三产生于企业层面。以中国2011～2016年发生的124笔海外并购交易为研究样本,是一种传统意义上的国际化研究范式。采用倾向得分匹配与双重差分相结合的方法,检验了海外并购与技术创新质量之间的因果关系和相关机理。研究发现:(1)海外并购显著正向影响企业技术创新质量,即企业实施海外并购后,技术创新质量水平显著提高。主要原因是海外并购所获取的创新资源,尤其是技术资源,与并购企业自身的现有资源存在较强的互补性,目标企业的先进技术和研发能力与并购企业现有的资源相结合可以提升技术创新质量。(2)海外并购是以吸收能力的传导机制进而影响技术创新质量的。并购企业吸收能力水平的强弱在很大程度上决定了海外并购所获取的创新资源在多大程度上被转化和利用,吸收能力越强,并购企业转化和利用目标企业创新资源的效果就越好,就越有可能推出高质量的技术创新成果。(3)吸收能力的中介效应受到整合程度和知识产权保护程度的调节。在海外并购后,整合程度较好的企业,可以有效地促进并购双方的知识共享,从而强化吸收能力在海外并购与技术创新质量之间的中介作用。与此同时,知识产权保护程度对吸收能力所发挥的中介效应也具有积极的调节作用,知识产权保护程度的增强会导致研发投入的增加,而研发投入的增加会直接增强企业的吸收能力,进而推动技术创新质量的提升。更多还原

【Abstract】 In the era of globalization,no country can "imprison" its technological knowledge in its own country,no industry can delineate its technological space,and no enterprise can confine its competitive advantage within the organization."Internationalization" has become a traditional and novel way of operation that affects the development of the country,industry and enterprise.In particular,as a typical emerging economy country,the existing endogenous growth is difficult to promote the economic re-development,more and more enterprises continue to "go out" and join the global market.It drives the flow of technology resources among different countries,which is most obvious in the overseas expansion of emerging economies oriented by seeking strategic assets such as technology.The cross-border flow of technology resources has become an important form of internationalization.In essence,a fact of the transformation from traditional economic resource-oriented internationalization research to technology resource-oriented internationalization research is that technological resources have become a key factor of productivity.The source of competitive advantage cultivation has changed between economic resources and technological resources.Different from the traditional research paradigm of enterprise internationalization based on economic resources,technology internationalization describes the phenomenon of technology resources flowing across national geographical boundaries.Focusing on the internationalization and technology development in the context of emerging economies,this paper constructs a multi-level "internationalization" research system of countries,industries and enterprises.Both traditional enterprise internationalization research and emerging technology internationalization research should be considered,and tries to condense and answer three questions:(1)When technology begins to flow across national geographic boundaries,does internationalization of technology at the national level affect technology spillovers between countries?(2)Will cross-border flows of technology resources affect the emergence of technology convergence at the industry level?(3)The intention of this paper is to construct a multi-level and comprehensive internationalization research system,as a useful supplement to the research paradigm of emerging technology internationalization.At the enterprise level,internationalization behavior has an impact on innovation at the enterprise level? and the internal mechanism of innovation is studied.By using the methods of literature research,negative binomial regression,multi-point double difference regression,long and short term memory neural network(LSTM)prediction,and dependent structure matrix(DSM)visualization analysis,the key issues concerned in this paper are analyzed and demonstrated one by one.The first sub-study appears at the national level.Taking China as a typical example of an emerging economy,and taking the patent data from 2008 to 2018 as the research sample,this paper designs a study to discuss whether the internationalization behavior stemming from technological cooperation between China and developed economies has an impact on the technology spillover between countries.Considering that patent data is a kind of "noise" data,it is indispensable to combine the "de-noising" operation of patent data with the empirical analysis process.Taking the technical attribute of patent data as the starting point,a large number of excellent indexes are designed to promote the empirical analysis process.The results show that:(1)in the patent big data environment,with the continuous advancement of patent data "de-noising",technology internationalization can always have a positive impact on technology spillovers between China and developed economies.When the "purity" of patent data is higher,the positive impact of internationalization on technology spillovers is closer to a real level;(2)Technical characteristics are a group of key control variables and an important condition for technology spillover.Among them,the lag of patent grant,patent originality,patent technology cycle and patent dominant technology advantage all have a positive impact on technology spillover;the degree of patent science and patent technology distance have a negative impact on technology spillover;the impact of patent scope on technology spillover is not significant.The second sub-study appears at the industry level.Taking the citation data of the medical technology and biotechnology industry from 2008 to 2018 as the historical value,the citation matrix of all the technical fields in the medical technology and biotechnology industry was created.On this basis,the long and short term memory neural network is used to predict the number of citations in the "future" of pharmaceutical technology and biotechnology industry,and the visual analysis of the prediction results is carried out the dependent structure matrix.The purpose is to observe whether there is a phenomenon of technology fusion?The results show that:(1)Over time window,technology convergence is mainly observed within the biotechnology and pharmaceutical technology industries.Among them,the technology convergence phenomenon within the pharmaceutical technology industry has a steady development momentum,and A61 B and A61 M play a key role in the technology convergence phenomenon.On the contrary,the phenomenon of technology convergence within the biotechnology industry can be observed gradually decreased,and the key technology field in the phenomenon of technology convergence is C12 N.(2)When the cross-border flow of technology resources is not restricted,the inter-industry technology convergence can be observed,which indicates that the technology internationalization phenomenon of technology resources flowing across geographic boundaries may be a key factor affecting the occurrence of inter-industry technology convergence.The third sub-study appears at the enterprise level.Taking 124 overseas M&A transactions in China from 2011 to 2016 as research samples,it is a traditional international research paradigm.The causality and related mechanism between overseas M&A and technological innovation quality are tested by combining propensity score matching with double difference.The results show that:(1)overseas M&A has a significant positive impact on the quality of technological innovation,that is,after the implementation of overseas M&A,the quality of technological innovation is significantly improved.The main reason is that the innovation resources,especially the technical resources,acquired by overseas M&A are highly complementary to the existing resources of the M&A enterprises.The combination of the advanced technology and research and development capabilities of the target enterprises with the existing resources of the M&A enterprises can improve the quality of technological innovation.(2)Overseas M&A affects the quality of technological innovation through the transmission mechanism of absorptive capacity.To a large extent,the absorptive capacity of mergers and acquisitions determines the extent to which the innovation resources acquired by overseas M&A is transformed and utilized.The stronger the absorptive capacity is,the better the effect of transformation and utilization of the target enterprise’s innovation resources will be,and the more likely it is to launch high-quality technological innovation achievements.(3)The mediating effect of absorptive capacity is moderated by the degree of integration and the degree of intellectual property protection.After overseas M&A,enterprises with a better degree of integration can effectively promote knowledge sharing between both parties,so as to strengthen the intermediary role of absorptive capacity between overseas M&A and the quality of technological innovation.At the same time,the degree of intellectual property protection also has a positive moderating effect on absorptive capacity.The enhanced degree of intellectual property protection will lead to the increase of R&D investment,which will directly enhance the absorptive capacity of enterprises,and then promote the improvement of technological innovation quality.更多还原