“三权下放”改革能否促进高校专利技术转移?——基于倾向得分匹配-双重差分(PSM-DID)的实证研究

Has the Reform of "Decentralization of Three-rights" Promoted the Performance of Patent Technology Transfer in Universities?: Empirical Study Based on the PSM-DID

专利是高校科技成果的重要表现形式,聚焦高校专利技术成果使用权、处置权和收益权下放(以下简称"三权下放")改革政策效果评估,采用我国65所高校2009—2017年的科技统计数据,基于倾向得分匹配-双重差分(PSM-DID)方法评估"三权下放"改革试点政策促进高校专利技术转移的效果。研究发现:(1)"三权下放"改革试点政策对高校专利转让数量和转让收入都具有显著正向影响;(2)试点政策对专利转让数量存在时间滞后效应,对专利转让收入存在动态效应;(3)试点政策效果存在异质性,主要促进了"双一流"高校、东部高校和理工类高校的专利技术转移;(4)专利申请对于试点政策促进专利技术转移具有中介作用,试点政策通过减少专利申请提高专利技术转移绩效。研究表明"三权下放"改革初步达成了政策设计的初衷,但需持续追踪"三权下放"改革的影响,以更好地发挥政策的效果和效用。

Patents are an important output of scientific and technological achievements in universities. Focusing on the reform policy evaluation of three-rights decentralization, as rights of using, disposing and distributing(abbreviated as "decentralization of three-rights"), based on the scientific and technological statistics of 65 universities in China from 2009 to 2017, this paper uses the propensity score matching(PSM) and difference in difference(DID) method to evaluate the policy effect of the reform of decentralization of three-rights. The research finds that:(1) The reform has a significant positive impact on the number and income of university patent transfer;(2) The reform has a timelag effect on the number of patent transfer and a dynamic effect on the income of patent transfer;(3) The reform effect is heterogeneous, mainly promoting the performance in "double first-class" universities, eastern universities, and polytechnic universities;(4) Patent applications play an intermediary role in the reform and the performance, and the reform has improved the performance by reducing patent applications. The research shows that the decentralization of three-rights has reached the original intention of the policy, but it is necessary to continuously track its impact to have a better effect of the policy.