创新政策对中国上市公司专利行为的影响——基于专利生产函数估计

How Innovation Policy of 2006 Affects Patenting Behavior of Listed Companies in China——An Empirical Study Based on Patent Production Function

中国2006年的国家创新政策强化了地方政府的目标责任制,同时提高了知识产权保护水平,但鲜有文献研究该政策对企业专利行为的影响。利用专利生产函数方法和新匹配的中国上市公司层面专利数据,本文考察了该政策效果。首先,该政策突变虽然总体上提高了上市公司专利申请倾向,但对于单位研发创新产出没有提高作用;其次,政策效果存在显著异质性,研发强度较弱、规模较小以及资本密集度较低的上市公司受影响更大;再次,该政策实施后,上市公司策略性专利行为明显下降。上述发现表明,未来中国创新政策需进一步提高企业申请专利的质量和创新效率,同时应继续强化知识产权保护。

The innovation policy implemented since 2006 reinforces the responsibility of local governments and also strengthens IPR protection in China. In this paper,we study how it affects industrial patenting behaviors using a novel firmlevel patent data. Our empirical analysis shows that,although the innovation policy has increased firms' patenting propensity,it has no significant effect on unit R&D output. This is mainly due to the heterogeneity effect,i. e.,the innovation policy has stronger effects on the small-scaled and low capital-intensive firms. Another interesting finding is that,quite different from the studies in advanced countries,the innovation policy discourages strategic patenting behavior,which implies that IPR protection in China is still under the optimal level.