美国337调查、动态能力与企业专利国际化  

The 337 investigation,dynamic capability,and patent internationalization of Chinese enterprises

作　　者：徐晨倩 朱雪忠 XU Chen-qian;ZHU Xue-zhong(School of Economics and Management,Tongji University,Shanghai 200092,China;Shanghai International College of Intellectual Property,Tongji University,Shanghai 200092,China)

机构地区：[1]同济大学经济与管理学院,上海200092 [2]同济大学上海国际知识产权学院,上海200092

出　　处：《科学学研究》2023年第8期1474-1483,共10页Studies in Science of Science

基　　金：国家社会科学基金重大项目(19ZDA102);上海市“科技创新行动计划”软科学项目(22692102800)。

摘　　要：美国337调查是典型的知识产权贸易壁垒,中国企业应对的根本在于加强在美国市场的专利布局。理论上,企业在遭遇337调查后会加剧资源约束,加大了专利国际化的难度。然而在实践中,部分企业却能突破外部环境和内部资源的双重约束,实现专利国际化,现有文献还缺乏对这种现象的深入研究。本文使用模糊集定性比较分析(fsQCA)方法探讨我国高新技术企业在经历337调查后的专利国际化行为,并利用动态能力理论进行解释。结论表明:有四类企业可以在遭遇337调查后实现专利国际化,包括“内部能力-外部能力型”“内部资源-外部能力型”“内部资源型”和“外部能力型”企业。基于研究结论,本文为中国企业和政府提供了相应的实践启示。The 337 investigation of the United States is a typical intellectual property trade barrier,which forms a certain patent block on the road of Chinese enterprises'internationalization.Strengthening patent portfolio in international market is the most direct and effective way to deal with 337 investigation.Theoretically,Chinese enterprises will be more constrained in capital and other resources after encountering the 337 investigation,thereby increasing the difficulty of patent internationalization.Nevertheless,some enterprises can still realize patent internationalization despite the double constraint of external environment and internal resources.This phenomenon has received scarce attention.Based on the influencing factors of patent infringement disputes on enterprises'patent behaviors found in the existing literature,this paper uses the fuzzy set qualitative comparative analysis(fsQCA)method to explore the“combined effect”of six major factors(firm size,knowledge base,reputation,distance of intellectual property system of the country of origin,policy environment of the province in which they were located,and the 337 investigation results).After obtaining the five configurations based on a sample dataset of 51 high-tech enterprises that suffered from the 337 investigation in China from 2010 to 2016,this paper carries out robustness tests by adjusting the calibration method(changing the way of assigning the the outcome variable)and crossing different time periods(changing the time span of the sample to 2011-2016),and the results show that the results are still robust.Then,this paper uses the dynamic capability theory to explain the differential adaptation relationship between firm resources and their dynamic capabilities in promoting subsequent patent internationalization.According to the dimension of dynamic capability composition proposed by scholars,this paper extends the connotation of each capability in the context of the 337 investigation by combining the conditional variables mentioned above.Specificall

关 键 词：美国337调查 专利国际化 动态能力 模糊集定性比较分析 

分 类 号：C306[社会学]