Abstract:Based on the patent cooperation data of small and medium-sized enterprises listed in ICT industry and pharmaceutical industry, the study explores and verifies the impact of patent cooperation network on enterprise innovation performance based on the difference of network characteristics and multiple regression analysis. The study found that among the four patent cooperation network models based on different combinations of cooperation breadth and depth, although the three patent cooperation network models of high cooperation breadth and low cooperation depth, low cooperation breadth and high cooperation depth, and high cooperation breadth and high cooperation depth, are positively affecting the innovation performance of enterprises, there are different degrees of curve effect. Enterprise network ability plays a complete intermediary effect between different modes of patent cooperation network and enterprise innovation performance, and the role of enterprise absorption ability in the process of different modes of patent cooperation network affecting enterprise innovation performance through network ability is different. This paper puts forward a breakthrough path for small and medium-sized technology-based enterprises to dynamically adjust the patent cooperation network by optimizing the patent cooperation behavior to improve the innovation performance of enterprises.

The study breaks the previous paradigm of the overall network research on patent cooperation, and innovatively carries out the exploratory research on the patent cooperation network-key capability-innovation performance of science and technology-based small and medium-sized enterprises based on the self-centered network. Based on the data of 5169 cooperative invention patents of 485 listed technology-based small and medium-sized enterprises in ICT industry and pharmaceutical industry, and based on the definition of four patent cooperation network modes, this paper explores the influence of different modes of patent cooperation network on enterprise innovation performance, and analyzes the mechanism of network capability and absorptive capacity in the influence of patent cooperation network on innovation performance. Conclusions and discussion are as follows:

First, not all modes of patent cooperation networks can improve the innovation performance of small and medium-sized enterprises, and there are differences in the influence of different modes of patent cooperation networks on the innovation performance of enterprises. In the "exploratory patent cooperation network" with high breadth and low depth, although science and technology-based small and medium-sized enterprises cooperate extensively with a large number of external subjects, the lack of in-depth cooperation leads to hollowing out of technology, which makes it difficult to improve innovation performance in the short term, but it will make up for the lack of innovation resources and gradually improve innovation performance in the long term. In the low-breadth and high-depth "utilization patent cooperation network", high-frequency patent cooperation between small and medium-sized technology-based enterprises and a small number of cooperative subjects is conducive to the formation of core technologies to promote the growth of innovation performance in the short term, but long-term repeated cooperation with a single subject leads to a slowdown or even decline in the growth of innovation performance due to technology path dependence. The "loose patent cooperation network" with low breadth and low depth can not effectively obtain external resources and accumulate technical capacity, so it can not improve the innovation performance of science and technology-based small and medium-sized enterprises. Only the "close patent cooperation network" with high breadth and depth can small and medium-sized technology-based enterprises not only obtain more heterogeneous innovation resources by broadening the scope of patent cooperation, but also enhance the maturity of innovation resources and the accumulation of core technologies by deepening the frequency of cooperation, thus forming a growth path to continuously improve innovation performance. It can be seen that those technology-based small and medium-sized enterprises that have carried out extensive patent cooperation still need to strengthen the frequency of cooperation and carry out deeper cooperation, and technology-based small and medium-sized enterprises that have carried out in-depth cooperation with a small number of cooperation entities also need to continuously expand patent cooperation resources through balanced development. Only by dynamically adjusting patent cooperation behavior can innovation performance be continuously and effectively improved.

Second, the study analyzes the mechanism of patent cooperation network affecting the innovation performance of small and medium-sized enterprises, and points out that network capacity and absorptive capacity are the key capabilities to balance development and dynamically adjust the patent cooperation behavior of small and medium-sized enterprises. Because network capability plays a complete intermediary effect in the influence of exploration, utilization and close patent cooperation network on innovation performance, it shows that small and medium-sized technology-based enterprises must strengthen the construction of network capability in the process of patent cooperation, and should construct appropriate network location and network relationship according to the openness of patent cooperation network. Enterprises in the central position not only have more external connections, but also can strengthen mutual trust and reciprocity through high cooperation frequency, so as to obtain diversified and heterogeneous innovation resources through patent cooperation. The study further analyzes the differences in the role of absorptive capacity adjustment effect, and points out that the absorptive capacity adjustment effect is not significant in the exploratory patent cooperation network, but is significant in the utilization patent cooperation network and partially significant in the close patent cooperation network. It shows that there is a certain adaptability between absorptive capacity and patent cooperation network, and only by improving absorptive capacity in a specific network can innovation performance be improved. In the utilization-based patent cooperation network, due to the frequent cooperation between small and medium-sized technology-based enterprises and other subjects and the intensive sharing of patent information, regardless of the strength of the enterprise's absorption capacity, the positive impact of the patent cooperation network on the innovation performance of enterprises through the network capacity can be amplified. In the close patent cooperation network, only small and medium-sized enterprises with strong absorption capacity can effectively transform extensive and intensive patent resources. In the exploratory patent cooperation network, due to the large number and scattered content of patent cooperation information and knowledge that science and technology-based small and medium-sized enterprises need to identify, digest, transform and apply, no matter the strength of the enterprise's absorption capacity, it can not enlarge the positive impact of patent cooperation network on the innovation performance of enterprises through network capacity. It can be seen that technology-based SMEs with strong absorptive capacity are suitable for improving innovation performance through utilization or close patent cooperation networks, but they do not recommend using exploratory patent cooperation networks to improve innovation performance.

Third, the research puts forward the breakthrough path of technology-based small and medium-sized enterprises to dynamically adjust the patent cooperation network by optimizing the patent cooperation behavior to improve the innovation performance. Since the mediating effect of network capacity and the moderating effect of absorptive capacity in the utilization-based patent cooperation network are significantly greater than those of other networks, it shows that small and medium-sized technology-based enterprises can preferentially choose the utilization-based patent cooperation network with low breadth and high depth, pay attention to cultivating and forming the network capacity and absorptive capacity that match the organization and dynamically adjust with the changes of the external environment, actively occupy the optimal position of the network, and strengthen the interaction communication within the organization, further expand the network cooperation node to expand the scope of cooperation, gradually evolve to a close patent cooperation network with high breadth and depth, and achieve continuous improvement of innovation performance. However, the small and medium-sized scientific and technological enterprises that choose to build an exploratory patent cooperation network with high breadth and low depth can only build an efficient collaborative innovation platform of patent cooperation network by enhancing the network ability, realize the resource sharing of each innovation subject across organizations and fields, further expand the cooperation scope and frequency in both directions, promote the effective flow and transfer of knowledge, technology and information, and gradually evolve to a close patent cooperation network with high breadth and high depth, enhance the innovation performance of small and medium-sized technology-based enterprises by strengthening open innovation. However, because the research samples are mainly concentrated in the ICT and pharmaceutical industries, and the main data sources are listed technology-based small and medium-sized enterprises, the representativeness and universality of the research conclusions need to be strengthened. Considering the adjustment of enterprise strategy or the change of market environment, the patent cooperation network is also in a dynamic change, and the future research can consider the introduction of time series to study the dynamic evolution law of enterprise patent cooperation network in different cycles.

Key words:Patent Cooperation Network, Network Capacity, Absorptive Capacity, Innovation Performance, Small and Medium-sized Technological Enterprises

Abstract: Technology-based SMEs are important carriers of strategic emerging industries and core strength of modern industrial systems. Increasing the cultivation and support of technology-based SMEs are an important starting point for going deep into the implementation of innovation-driven development strategies. In the context of patents surging, technology-based SMEs still face bottlenecks of the lack of innovative resources. Although enterprises actively seek to cooperate with other organizations through applying for patents to establish a patent cooperation network, for integrating innovative resources, however, there are some problems. There is a hollow of internal technological innovation caused by excessive dependence on external technologies. On the other hand, there is a dilemma that it is difficult to sustain innovation due to technical rigidity. How much of the rich patent cooperation resources really transfer into a core competitive advantage that promotes the improvement of enterprises′ innovation performance? In an open network competition environment, enterprises must transform from traditional growth methods that rely on its internal accumulation to collaborative development methods that integrate external resources. So it is very important to select and embed a patent cooperation network that is compatible with the development of the enterprises, in this way it can truly promote the improvement of innovation performance. How to build a patent cooperation network that adapts to the growth of the enterprises? How to cultivate the key capabilities to achieve the transformation of patent cooperation resources to internal core competitiveness? How to adjust the evolution path of the patent cooperation network dynamically to achieve a breakthrough in the growth bottleneck? These are the key issues that need to be discussed and solved in the study of the use of patent cooperation networks to promote the sustainable growth of technology-based SMEs. But the unsatisfactory situation is, the existing researches are not deep enough on some aspects, such as how to choose different modes of enterprise patent cooperation networks, and how to establish a coordination mechanism between cooperative enterprises to improve the innovation performance of enterprises.

This research used 5,169 effective cooperative invention patent data from 485 listed technology-based SMEs in the ICT industry and the pharmaceutical industry, constructing four patent cooperation networks modes by different combinations of patent cooperation breadth and depth, which are: "compact type" (high-breadth & high-depth), "exploration type" (high-breadth & low-depth), "utilization type" (low-breadth & high-depth) and "loose type" (low-breadth & low-depth). Based on network characteristics differences and multiple regression analysis, this study explores and verifies the impact of patent cooperation networks on corporate innovation performance.

This study draws some important research results. The study found that in the four patent cooperation network modes based on different cooperation breadth and depth, the "compact type" mode patent cooperation network affects innovation performance of enterprises positively without curve effect; the "exploration type" mode affects innovation performance of enterprises positively, and has "U" shape curve influence effect; the "utilization type" mode affects innovation performance of enterprises positively, with an "inverted U" shape curve effect; the "loose type" mode affects innovation performance of enterprises negatively. 

The study further explores the influence mechanism of different modes patent cooperation networks on enterprise innovation performance by analyzing enterprise network capability and absorptive capability. Enterprise network capability plays a full mediating effect between three modes and enterprise innovation performance, the three modes are: "compact type", "exploration type" and "utilization type". Enterprise absorption capacity has different effects on moderating in the process of different modes of patent cooperation networks affecting innovation performance through network capability. 

The research proposes a breakthrough path for technology-based SMEs to dynamically adjust the patent cooperation network and improve the innovation performance by optimizing the patent cooperation behavior: The first is to optimize the patent cooperation network mode. Technology-based SMEs should focus on strengthening their links with other entities from the view of breadth and depth of cooperation. Priority should be given to selecting effective cooperation entities, and actively constructing a "utilization type" patent cooperation network by increasing the frequency of cooperation and deepening the use of resources. Moreover, on the basic of fully possessing an excellent cooperation mechanism, the scope and frequency of cooperation should be expanded in two directions, and the model will be transformed into a "compact type" patent cooperation network mode. For other enterprises, the transformation from the "exploration type" to the "compact type" patent cooperation network can also be considered under some conditions, such as the government′s cultivation and support. 

The second is to focus on cultivating the dynamic network capability of enterprises. Technology-based SMEs need to use key capabilities to balance the degree of embedding different types of patent cooperation subnets. At the same time as patent cooperation develops, it is necessary to form a dynamic network capability that matches the organizational changes and adjusts to the changes of the external network environment. By actively embedding to occupy the optimal position in the network, and strengthening interaction through effective communication, technology-based SMEs should effectively identify and integrate the information possessed by the external network, and jointly promote the establishment of cooperation. 

The third is to enhance the absorption capacity by enterprises investing according to external resources. Enterprises should enhance their absorptive capacity by cultivating and introducing high-end talents, strengthening internal research and development capabilities, promoting the effective flow of knowledge within the organizations and building a learning culture. When the depth of cooperation between enterprises is low, we should focus on the ability to coordinate and match. While developing the absorptive capacity, attention should be paid to moderate openness, which makes the organic combination of enterprise resource openness and external knowledge absorption. So as to promote the core competitive advantage, we need to work on both inside and outside. 

The fourth is to build an efficient patent cooperation network collaborative innovation sharing platform. The sharing platform should be built and cultivated from the government level. The government should introduce sharing cooperation policies and mobilize various innovation entities for resource sharing. In this way, the effective flow of knowledge, technology and information is promoted. Also, it helps to achieve the value-added knowledge and enhance the innovation performance of technology-based SMEs through more efficient patent cooperation networks. 

Key words: patent cooperation network, network capability, absorption capacity, innovation performance, technology-based SMEs

Authors: Wang Liying, Wu Ying, Zhu Ziqin, Song Xiuling

Author: Zhejiang University of Technology

China Institute of Small and Medium Enterprises

School of Economics and Management, Tsinghua University

The full text has been published in Scientific Research Management, Issue 1, 2021.