• 中国科学学与科技政策研究会
  • 中国科学院科技政策与管理科学研究所
  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2022, Vol. 40 ›› Issue (11): 1979-1990.

• 科技发展战略与政策 • 上一篇    下一篇

组态视角下基于TOE 的可转化专利特征因果推断

何喜军1,石安杰2,武玉英2,3,李建霖1,3,庞婷4,5   

  1. 1. 北京工业大学经济与管理学院
    2. 北京工业大学
    3.
    4. 马来亚大学计算机科学与信息技术学院
    5. 新乡医学院网络与信息中心
  • 收稿日期:2021-10-03 修回日期:2022-01-12 出版日期:2022-11-15 发布日期:2022-11-15
  • 通讯作者: 石安杰
  • 基金资助:
    国家自然科学基金面上项目;国家自然科学基金项目;国际科研合作基金项目

Research on causal inference of transformable patent characteristics based on TOE framework from configuration perspective

  • Received:2021-10-03 Revised:2022-01-12 Online:2022-11-15 Published:2022-11-15

摘要: 从专利技术(T)、组织(O)、环境(E)三个维度构建可转化专利特征的TOE框架,利用LASSO和熵值法进行多维特征筛选与融合。结合NCA和fsQCA方法,探索专利可转化的必要条件和关键组态,揭示可转化专利形成的驱动模式和内在机理。通过燃料电池领域数据的实证研究,发现:可转化专利的形成是多维特征交互作用的结果,包括三种驱动模式:专利价值和组织实力混合驱动、专利价值和组织合作混合驱动、组织实力驱动,专利多维特征与可转化之间的因果关系存在多重并发和多种方案等效的特点。同时,基于组态分析结果,构建了可转化专利形成的CDEF机理模型,即:满足各类技术需求是专利可转化的根本动因,专利价值高、组织实力强和多组织合作这三个核心条件,以及文本特征、供给环境这两个辅助条件的复杂交互构成了可转化专利形成的多元路径。

Abstract: The causal inference of transformable patent characteristics is the key to the cultivation, pre-evaluation and identification of high-value patents. The number of patents granted in China is increasing, but the number of transformable patents is small and the problem of low conversion rate still remains serious. This paper constructs a TOE framework that affects patent transferability from three dimensions, including technology(T), organization(O), and environment(E). Then we use LASSO and entropy method to screen and integrate multi-dimensional characteristics. Based on the TOE framework, the 16 features were synthesized according to the secondary dimensions of patent value, text features, organizational cooperation, organizational strength, and supply environment. Five comprehensive conditions for causal inference of transformable patent features were obtained. We combine NCA and fsQCA to explore the necessary conditions and key configurations of patent transferability, and reveal the driving modes and internal mechanism of the formation of transformable patents. fsQCA makes reasonable explanations for the complex reasons leading to specific results by dealing with the complex interaction between multiple antecedents. However, fsQCA can only identify whether a certain condition is a necessary condition for patent transformation. It cannot reflect the necessary degree of the condition for the result. NCA method can make up to its shortcomings. It can identify the necessary conditions while analyzing the necessary degree of their impact on the results. Meanwhile, NCA can be performed on each condition separately, so that the effect size of the necessary conditions is not affected by other conditions in the model. Therefore, we combine fsQCA and NCA to conduct causal inference research. Based on the empirical research on data in the field of fuel cells, we found that: (1) Patent value and organizational strength are necessary conditions for patent transformation, but the influence of necessity is small. It indicates that the formation of transformable patents is the result of complex interaction among multiple characteristic conditions, rather than a single characteristic condition. (2) The formation of transformable patents can be summarized into three driving modes: patent value and organizational strength hybrid driving mode, patent value and organizational cooperation hybrid driving mode, and organizational strength driving mode. The causal relationship between patent multi-dimensional characteristics and transferability has the characteristics of multiple concurrency and multiple solutions equivalent. (3) Based on the results of configuration analysis, we construct a CDEF mechanism model for the formation of transformable patents, that is: satisfying various technical requirements is the fundamental reason for achieving high patent transferability. The complex interaction of the three core conditions of high patent value, strong organizational strength, and multi-organizational cross-border cooperation, as well as the two auxiliary conditions of text characteristics and supply environment, constitutes diverse paths for the formation of transformable patents. On the one hand, this study reveals the internal mechanism and driving modes of the formation of transformable patents, which provides support for exploring the cultivation strategies of transformable patents. On the other hand, it expands the application of TOE framework in explaining "causal complexity", and provides an explanatory theoretical basis for the identification of transformable patents based on machine learning.