中国的科技政策与科技赶超——来自全球专利质量测算的视角

China’s Science and Technology Policies and Catching-up:From the Perspective of Global Patent Quality Measurement

收集和运用全球七个主要创新强国的专利局自1996—2018年间共计约1亿6千万件专利申请和授权公告书数据,以及11.6亿次的专利引用记录,全景式地考察了全球科技格局的演变,并归纳了三个特征事实。基于特征事实的启示,发现21世纪以来全球科技创新能力格局演变的主要变数来自中国和韩国,而2006年《国家中长期科学和技术发展规划纲要(2006—2020年)》(简称《纲要》)的实施,结构性地提升了中国的科技赶超速度,使得中国超过韩国成为全球科技赶超速度最快的国家。据此,本文基于《纲要》实施的现实背景,从中国专利引用对内和对外技术进步的贡献切入,实证检验中国专利引用对内和对外的专利数量和质量产出弹性。分析结论显示,《纲要》的实施使得中国专利引用对内和对外技术进步的贡献都产生了结构性跃变,亦是中国自主创新能力结构性跃变的重要转折点。

By collecting and using a total sample of about 160 million patent applications and authorization notices from 1996 to 2018 from the patent office of world’s seven major innovation countries,as well as 1.16 billion patent references,this paper makes a panoramic look at the evolution of the global scientific and technological landscape,and summarizes three characteristic facts.Based on the enlightenment of characteristic facts,it has found that the main variables of the evolution of the global scientific and technological innovation capability pattern since the 21st century are from China and Korea.The implementation of the Outline of the National Program for Medium and Long-term Scientific and Technological Development(2006-2020)in 2006(referred to as the Outline)has structurally enhanced China’s science and technology catch-up speed,making China the world’s fastest scientific and technological catch-up country,surpassing South Korea.Therefore,on the practical background of the implementation of the Outline,starting from the contribution of China’s patent citations to internal and external technological progress,the output elasticity of patent quantity and quality of China’s patent citations are empirically tested.The analysis results show that the implementation of the Outline has made a structural leap in the contribution of China’s patent citation to domestic and foreign technological progress,and is also an important turning point in the structural leap of China’s independent innovation capability.