企业知识产权竞争行动及其对企业绩效的影响机制研究: 基于动态竞争理论视角

In the era of knowledge economy, intellectural property rights (IPRs) have regarded as an important source of firms' sustainable competitive advantage. How to create and maintain such advantage in the dynamic competitive environment has become an urgent problem for firms in China. Most of the extant research on IPRs strategy is from the perspective of economics and law. However, according to competitive dynamics theory, the more aware of the dynamic environment and the mobility of internal resource, the better to quickly respond to competitive challenges. Therefore, a theoretical framework is developed from a new angle based on competitive dynamics theory. The aim of this research is to explore offensive and defensive strategies of IPRs competition, its impacts on firm performance, and the moderating roles of competitors’ responses, technological resource diversity, open innovation models, and network structures. To test the hypotheses, we examine firms in China's telecom-equipment industry which suffer extremely intensive IPRs competition. We obtain data from in-depth interview and databases, such as CSMAR, Wind, etc. This project makes several contributions to the literature. First, it contributes to IPRs research by re-examining IPRs strategy from the perspective of competitive dynamics theory. Second, it contributes to competitive dynamic theory by integrating resource-based views and open innovation and exploring how technological resource diversity and open innovation models affect the effectiveness of competitive actions. Third, it explores under what network strucutres IPRs competitive actions provide performance benefits to a firm. The managerial implication of the research findings is to guide managers to strengthen IPRs competitive actions through leveraging resource and optimizing the social network in the dynamic environment.

知识经济时代，知识产权是企业获取持续竞争优势的一项重要资源，如何在动态竞争环境中塑造并保持知识产权上的竞争优势，成为中国企业面临的重要问题。现有文献大多从经济和法律视角研究知识产权战略，然而，战略是企业与环境不断对话的过程，企业要时刻审视外部环境和内部资源的能动性，并敏捷地对变化作出反应。因此，本研究拟从动态竞争理论的视角建立一个理论模型，研究目的是分析企业知识产权的竞争攻防行动、对企业绩效的作用机制、以及竞争者回应、技术资源、开放式创新模式、网络结构等因素的调节效应。本项目以中国通信企业为研究对象，展开以深入访谈为主的定性研究，和以数据库分析为主的定量研究。理论贡献是：（1）从动态竞争理论视角重新诠释知识产权竞争行动；（2）整合资源基础理论和开放式创新观点，探索技术资源多样性和开放式创新模式的调节效应；（3）验证网络结构的调节效应。研究结论将有助企业强化知识产权竞争行动的绩效表现。

第四次工业革命时代，以知识产权为基础的竞争，正变得越来越激烈，并在很大程度上被用作对抗竞争对手的战略武器。在面对知识产权竞争时，了解企业如何保护其创新和抵御威胁以维持和实现竞争力至关重要。在动态竞争领域，仍存在三个待解决的问题。首先，现有动态竞争研究大多集中在产品市场上的竞争，对资源市场上的竞争（如专利竞争）研究相对较少。其次，有关专利战略的研究大多只关注单个领域与单边战略，对混合专利战略关注较少。最后，对专利诉讼现有研究主要集中在诉讼发生前因、卷入专利诉讼的可能性、决议的时机、制度背景和法律结果等方面，但忽略企业所嵌入的网络结构对专利诉讼的影响。因此，本项目基于动态竞争理论，探讨基于专利的竞争行为对企业绩效的影响机制；并分析企业处于何种网络结构地位以及内部资源如何配置和采用何种创新模式，才能更有效地强化企业知识产权竞争行动的绩效表现。.本课题将动态竞争研究扩展到要素资源市场竞争的背景，检验基于知识产权的竞争行动在产品市场竞争力的形成中起着关键作用。其次，通过分析企业面临专利竞争时所使用的两种专利战略，强调了企业开放式创新与技术多样化战略在实现卓越绩效中的作用。研究发现技术资源多样性和内向型开放式创新模式能强化企业知识产权竞争行动的绩效表现。经项目负责人与参与者的努力，项目成果在管理领域顶级期刊Technological Forecasting and Social Change以第一作者发表1篇论文，其他成果包括3篇论文刊登在国内外权威学术期刊Frontiers in Public Health，Scientometrics和Sustainability上，在审论文2篇。