标准的力量——来自中国标准必要专利的经验证据

The Power of Standards:Empirical Evidence from China's Standard Essential Patents

加强标准必要专利国际化建设、积极参与并推动国际知识产权规则的形成有助于建设知识产权强国和全国统一大市场,从而实现经济高质量发展。虽然技术标准的重要性已被广泛讨论,但技术标准对创新的全面影响尚未得到充分研究。本文基于标准必要专利数据库、中国专利数据库、上市公司数据库和工业企业数据库,运用双重差分法,从垄断力量和知识溢出的双重视角来研究技术标准如何影响专利价值和企业创新。研究发现:(1)在被宣告为标准必要专利后,专利价值显著提升,表现为被引用次数、许可次数和对应权利人市场价值的增加;(2)专利价值提升的来源是被标准采纳后带来的专利影响力范围扩大,体现在来自于不同技术领域、复杂主题和普通专利的引用增加;(3)标准的市场力量导致相应专利技术具有超出其所固有技术贡献的额外市场价值,表现为小规模创新主体获益更多、市场集中度提高和新增企业数量降低;(4)标准对行业内追随者产生知识溢出效应,表现为遵循标准后企业创新数量、质量和布局均出现显著改善。本文不仅拓展了关于技术标准对科技创新与产业升级的影响研究,还启示在积极推动国际标准制定的同时,需要强化标准制定和实施过程中的规则引领,以防范潜在的垄断后果。

Strengthening the internationalization of standard-essential patents(SEPs)and promoting the formation of international intellectual property rules are crucial for building a powerful country with intellectual property rights and a unified national market,thus realizing high-quality economic development.Despite extensive debates on the significance of technical standards,the study of their effects on innovation remains incomplete.Using datasets of Chinese patents,listed companies,and industrial enterprises,this paper empirically analyzes how technical standards impact patent value and innovation from the perspectives of market power and knowledge spillovers by employing the difference-in-differences approach.The findings are as follows:(I)After being declared as standard-essential,patents experience a significant increase in value,as evidenced by increased citations,licenses,and market value.(2)The patent value enhancement stems from the expanded influence following standard adoption,indicated by increased citations by patents from different technical fields,patents in complex subjects,and by non-SEPs;(3)The returns to the technology contributor are at least partly due to the market power of the standard,manifested in more benefits for small-scale innovators,increased market concentration and fewer new enterprises;(4)Standards generate knowledge spllover effects among industry followers,resulting in improved innovation quantity,quality,and geographic distribution.Thus,this study not only expands our understanding of the effects of standards on innovation and industrial upgrading,but also provides empirical support for the government to simultaneously promote international standardization and strengthen rule-based processes to prevent potential monopolistic consequences.