摘要
专利交易是技术创新扩散的主要渠道,是实现科技成果转化的有效途径。研究专利转让与受让行为可以识别影响专利交易的主要因素,为政府制定技术交易政策提供科学依据。以2002—2019年中国集成电路产业专利转让记录作为数据源,利用Siena模型,结合网络效应和行动者效应,对专利转让与受让行为影响因素进行实证检验。研究发现:①专利技术交易以单向交易为主,随着集成电路产业从萌芽阶段步入成长阶段,产业内技术交易主体增加,网络规模扩大,网络信息传输效率有所提升,但仍处于较低水平;②网络初期产生的锁定效应明显得以缓解,技术交易网络内组织社团化特征明显,技术交易社团规模呈扩张态势且社团内紧密程度不断提高;③网络效应方面,转让者更倾向于与技术交易伙伴进行交易,频繁发生受让行为的企业会吸引更多新的交易伙伴,企业间不存在明显的互惠交易;④行动者效应方面,随着产业进入成长阶段,成熟企业更倾向于专利转让行为,初创企业更倾向于专利受让行为,占据高结构洞位置的企业更倾向于专利转让行为。企业间技术创新能力差距越小越容易发生技术交易,企业倾向于选择同一国别或同一企业集团内伙伴进行交易。
As the conversion rate of scientific and technological achievements is less than 30%,technology transaction is regarded as the link between invention and application.It is not only the main channel of technological innovation diffusion,but also an effective way to make the transformation of scientific and technological achievements into practice.This paper focuses on the behavior of patent assignors and assignees,and it aims to analyze the characteristics of transactions,identify the main factors affecting patent transaction,and provide a scientific basis for the government to formulate policies as well as promote technology transactions.At present,the study of patent technology transaction and its behavior has become the focus of attention,but the research is fragmented between the network structure and the attributes of the actors themselves:research on technology transaction networks mainly focuses on the analysis of the factors and evolution characteristics which affect the field of technology transactions at the overall network level.It ignores the influence of the attributes of the network nodes on the evolution of the network.In addition studies on the behavior of patent assignors and assignees are mostly based on case analysis which is greatly influenced by objective factors.The integrated circuit industry is a core and representative industry for the intelligent transformation of manufacturing and is most affected by the U.S.constraints in China in the post-epidemic period.To settle this conflict,this paper begins with the theoretical foundation and divides the factors affecting technology transaction behavior into two dimensions:the network effect and the actor effect.Therefore it proposes the research hypotheses in terms of three dimensions:structural characteristics of the network,actors'own attributes and inter-actor convergence.Then,the paper describes the data sources and processing methods,the research method stochastic actor-oriented model(Siena)and the variable measures.Subsequently,using the patent transfer data of the IC industry from 2002 to 2019,the study analyzes the overall trends and characteristics of patent technology transactions in this industry statistically and divides the industry stages.On this basis,it builds the patent technology transaction network of this industry to measure the characteristics of patent technology transactions in this industry from two aspects:quantity change and network evolution.Meanwhile,combined with research hypotheses,an empirical study of patent technology trading behavior based on the Siena model is conducted to analyze the characteristics of technology transaction behavior.The main findings are as follows.First,in terms of the technological transaction network evolution,the patent technology transaction is mainly in a one-way mode.With the integrated circuit industry entering to the stage of growth,the number of technology transaction entities within the industry increases and the network scale increases.The efficiency of information transmission in the network has been improved,however it is still at a low level;the lock-in effect formed at the initial stage of the network is obviously relieved;the organization in the network is characterized by community,and the scale of community is expanding while the degree is increasing.Second,in terms of the stability of patent technology transaction network,the patent technology transaction network of integrated circuit industry is unstable and has a large variation.Third,in terms of network effect,assignors are more inclined to trade with partners of technology trading partners;as the assignees,firms will attract more new technology trading partners;there is no obvious reciprocal transaction between firms.Fourth,in terms of actor effect,as the industry enters the growth stage,mature firms are more likely to be patent assignors,and start-up firms are more likely to be patent assignees,and firms in the high structural hole position are more likely to be patent assignors;the smaller gap in technological innovation capabilities,the more likely technology transactions will occur between firms;firms tend to choose partners in the same country or in the same enterprise group for patent transaction.The research results have enriched the theoretical system and application scope of social network analysis in the field of patent technology trading,and enables scholars to analyze the factors influencing the transformation of scientific and technological achievements further.Meanwhile,it provides novel insights for the government to formulate industrial policies.
作者
刘晓燕
孙丽娜
单晓红
杨娟
Liu Xiaoyan;Sun Lina;Shan Xiaohong;Yang Juan(College of Economics and Management,Beijing University of Technology,Beijing 100124,China)
出处
《科技进步与对策》
CSSCI
北大核心
2024年第2期35-45,共11页
Science & Technology Progress and Policy
基金
国家社会科学基金后期资助项目(21FGLB042)。
关键词
网络效应
行动者效应
专利转让
专利受让
技术交易
科技成果转化
Network Effect
Actor Effect
Patent Transfer
Patent Assignment
Technology Transaction
Transformation of Scientific and Technological Achievements
