中国创新能够摆脱“实用新型专利制度使用陷阱”吗

Could China's Innovation Get Rid of the Trap of Utility Model System

尽管实用新型专利能够为一国在技术追赶阶段带来技术学习和创新累积效应,但是不能为该国在进入高收入阶段后提供持续增长的动力。本研究从理论层面论证了,伴随着经济发展,中国实用新型专利制度未能进入理论预期的"倒U型"增长模式,实现发明专利对实用新型专利的挤出与替代。如果延续目前的发展态势,在政府不能主动实施实用新型专利制度调整的前提下,市场主体也难以自发放弃对实用新型专利制度的使用,从而形成"实用新型专利制度使用陷阱"。结合1985—2015年中国省级面板数据,本文发现,中国实用新型专利对中国经济增长的贡献依次经历了不显著为负、显著为正、不显著为负、显著为负的发展变化特征,过度"膨胀"的实用新型专利已对中国经济和全要素生产率产生了统计学意义上的显著负向冲击。更趋理性的中国实用新型专利制度走向应沿袭日韩路径,在接近或进入高收入国家阶段时主动大幅度降低制度依赖。对此,政府应弱化实用新型专利的数量激励政策,主动实施实用新型专利审查制度调整,适时引导市场降低对实用新型专利制度的使用,增强专利制度对经济增长的贡献。

Although the utility model system can bring the learning and innovation accumulation effects for countries at catching up stage,it cannot provide the driving force for sustainable growth for countries entering the high income stage.This study finds that the growth trend of China’s utility model system did not follow the theoretical“inverted U-shape”style,i.e.,the invention patent did not as expected,substitute the utility model.In this scenario China is in the risk of falling into trap of the utility model system if government does not rationally adjust the trend,since the market players would not give up the utility model automatically.Based on 1985-2015 provincial dataset,this paper empirically shows that the effects of utility model on economic growth experienced insignificant positive,significant positive,insignificant negative and significant negative periodical trends.Excessive“expansion”of the utility model system has a significant negative impact on China’s economic growth and total factor productivity.This paper suggests that to construct a sound utility model system China should follow the path of Japan and South Korea in utilizing the utility model system.It is rationale to decrease the dependence on utility model system when China enters or closes to the high-income stage.In this regard,the government should weaken the incentive policy targeting in patent number,strengthen the patent examination,and guide the market players towards high quality invention,so as to enhance the contribution of patent system to economic growth.