专利制度对区域技术创新绩效影响的实证研究——基于专利保护视角
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摘要
本文首先根据专利制度对技术创新绩效的先行文献提出经验假设:比较温和的专利保护制度更容易促进技术创新发展。然后基于专利保护视角,运用随机前沿模型(SFA)和三次函数的库兹涅茨曲线模型相结合的研究方法,采用1987-2013年相关统计数据,对我国专利保护水平与各区域技术创新绩效之间关系进行实证分析,得出结论:专利制度处于温和状态下,其技术创新产生激励作用尤为明显,但随着专利保护处于严格期,反而有可能引发技术创新绩效下降。针对此结论提出一些富有创造性的建议,以期能为我国区域科技创新发展提供一定的参考。
This paper brings an experience hypothesis on the basis of the references of the patent system on regional technology innovation performance: the moderate patent protection system can stimulate the innovation of technology. From the view of technology, by using the research methods of stochastic frontier of SFA Model and the cubic function of Kuznets Curve Model, referencing the statistical data among 1978-2013, analyzing the relationships between the standard patent protection in our country and the technology innovation performance of different regions, it draws conclusion: with moderate patent protection policy, it can produce an obvious incentive work to regional technology innovation performance; But with the strict patent protection policy, it can prevent the development from regional technology innovation performance. Therefore it proposes some creative suggestions, hoping it can help our nation promote the development of regional technology innovation.
This paper brings an experience hypothesis on the basis of the references of the patent system on regional technology innovation performance: the moderate patent protection system can stimulate the innovation of technology. From the view of technology, by using the research methods of stochastic frontier of SFA Model and the cubic function of Kuznets Curve Model, referencing the statistical data among 1978-2013, analyzing the relationships between the standard patent protection in our country and the technology innovation performance of different regions, it draws conclusion: with moderate patent protection policy, it can produce an obvious incentive work to regional technology innovation performance; But with the strict patent protection policy, it can prevent the development from regional technology innovation performance. Therefore it proposes some creative suggestions, hoping it can help our nation promote the development of regional technology innovation.
引文
[1] ORSI F,CORIAT B.The new role and status of intellectual property rights in contemporary capitalism[J].Competition & Change,Vol 10,No.2,2006.
[2] FALVEY R,POSTER N,GREENAWAY D.Intellectual property rights and economic growth[J].Review of Development Economics,Vol 10,No.4,2006.
[3] HORII R,IWAISAKO T.Economic growth with imperfect protection of intellectual property rights[J].Journal of Economics,Vol 90,No.1,2007.
[4] VALLEE T,YILDIZOGLU M.Social and technological efficiency of patent systems[J].Journal of Evolutionary Economics,Vol 16,No.1-2,2006.
[5] CZAR NITZKI D,TOOLE A A.Patent protection,market uncertainty,and R&D investment[J].The Review of Economics and Statistics,93(1):147-159.
[6] ERNST H,CONLEY G,OMLAND N.How to create commercial value from patents:The role of patent management[J].Research Policy,2013,42(8).
[7] PAVITT,KEITH,WALD S.The conditions for success in technological innovation[R].Paris:OECD,2013.
[8] BAR SHALOM A,COOK DEEGAN R.Patents and innovation in cancer therapeutics:Lessons from Cellpro[J].Milbank Qqarerly,2002,80(4):637-676
[9] NOEL M ,SCHANKERMAN M .Strategic patenting and software innovation[J].The Journal of Industrial Economics,2013,61(3):481-520.
[10] BESSEN J,MASKIN E.Sequential innovation,patents,and imitation[J].The Rand Journal of Economics,2009,40(4):611-635.
[11] FURUKAWA,Y.The protection of intellectual property rights and endogenous growth:Is stronger always better?[J].Journal of Economic Dynamics and Control,Vol 31,No.11,2007.
[12] Yu-Shan Chen Author Vitae,Ke-Chiun Chang Author Vitae,Ching-Hsun Chang.Nonlinear influence on R & D project performance[J].Technological Forecasting and Social Change,2012,10(79):1537-1547.
[13] Jun-You Lin.Effects on diversity of R & D sources and human capital on industrial performance[J].Technological Forecasting and Social Change,2014,6(85):168-184.
[14] 姚洋.非国有经济成分对我国工业企业技术效率的影响[J].经济研究,1998(12):29-35.
[15] 赖明勇,包群,彭水军等.外商直接投资与技术外溢:基于吸收能力的研究[J].经济研究,2005(8):95-105.
[16]周黎安,罗凯.企业规模与创新:来自中国省级水平的经验证据[J].经济学(季刊),2005(2):623-638.
[17] 柒江艺,许和连.行业异质性、适度知识产权保护与出口技术进步[J].中国工业经济,2012(2):79-88.
[18] 葛秀,邵展翅.专利制度、产权激励和技术创新绩效[J].未来与发展,2013,36(6):31-37.
[19] AFFE ADAM B.The U.S.patent system in transition policy innovation and the innovation process [J].Research Policy,Vol 29,No.4,2000.
[20] ACS Z J,ANSELIN LUC,VARGA ATTILA.Patents and innovation counts as measures of regional production of new knowledge[J].Research Policy,Vol 31,No.7,2002.
[21] 平新乔,尹静.假冒生产对专利制度的伤害[J].经济研究,2004(10):104-114.
[22] 韩玉雄,李怀祖.关于中国知识产权保护水平的定量分析[J].科学学研究,2005(3):377-382.
[23] GINARTE J C,PARK W G,Determinants of patent rights:A cross-national study[J],Research Policy 1997,26(3):283-301.
① 这里全国区域指的是除港、澳、台、海南、西藏和重庆之外的28个省市;其中东部地区包括辽宁、河北、北京、天津、山东、江苏、浙江、上海、福建和广东;中部地区包括黑龙江、吉林、山西、河南、湖北、江西、安徽和湖南;西部地区包括陕西、甘肃、青海、宁夏回族自治区、新疆维吾尔自治区、四川、云南、贵州、广西壮族自治区和内蒙古自治区。
② Ginarte—Park方法:以知识产权范围评估各国专利制度的差异和差距。
[2] FALVEY R,POSTER N,GREENAWAY D.Intellectual property rights and economic growth[J].Review of Development Economics,Vol 10,No.4,2006.
[3] HORII R,IWAISAKO T.Economic growth with imperfect protection of intellectual property rights[J].Journal of Economics,Vol 90,No.1,2007.
[4] VALLEE T,YILDIZOGLU M.Social and technological efficiency of patent systems[J].Journal of Evolutionary Economics,Vol 16,No.1-2,2006.
[5] CZAR NITZKI D,TOOLE A A.Patent protection,market uncertainty,and R&D investment[J].The Review of Economics and Statistics,93(1):147-159.
[6] ERNST H,CONLEY G,OMLAND N.How to create commercial value from patents:The role of patent management[J].Research Policy,2013,42(8).
[7] PAVITT,KEITH,WALD S.The conditions for success in technological innovation[R].Paris:OECD,2013.
[8] BAR SHALOM A,COOK DEEGAN R.Patents and innovation in cancer therapeutics:Lessons from Cellpro[J].Milbank Qqarerly,2002,80(4):637-676
[9] NOEL M ,SCHANKERMAN M .Strategic patenting and software innovation[J].The Journal of Industrial Economics,2013,61(3):481-520.
[10] BESSEN J,MASKIN E.Sequential innovation,patents,and imitation[J].The Rand Journal of Economics,2009,40(4):611-635.
[11] FURUKAWA,Y.The protection of intellectual property rights and endogenous growth:Is stronger always better?[J].Journal of Economic Dynamics and Control,Vol 31,No.11,2007.
[12] Yu-Shan Chen Author Vitae,Ke-Chiun Chang Author Vitae,Ching-Hsun Chang.Nonlinear influence on R & D project performance[J].Technological Forecasting and Social Change,2012,10(79):1537-1547.
[13] Jun-You Lin.Effects on diversity of R & D sources and human capital on industrial performance[J].Technological Forecasting and Social Change,2014,6(85):168-184.
[14] 姚洋.非国有经济成分对我国工业企业技术效率的影响[J].经济研究,1998(12):29-35.
[15] 赖明勇,包群,彭水军等.外商直接投资与技术外溢:基于吸收能力的研究[J].经济研究,2005(8):95-105.
[16]周黎安,罗凯.企业规模与创新:来自中国省级水平的经验证据[J].经济学(季刊),2005(2):623-638.
[17] 柒江艺,许和连.行业异质性、适度知识产权保护与出口技术进步[J].中国工业经济,2012(2):79-88.
[18] 葛秀,邵展翅.专利制度、产权激励和技术创新绩效[J].未来与发展,2013,36(6):31-37.
[19] AFFE ADAM B.The U.S.patent system in transition policy innovation and the innovation process [J].Research Policy,Vol 29,No.4,2000.
[20] ACS Z J,ANSELIN LUC,VARGA ATTILA.Patents and innovation counts as measures of regional production of new knowledge[J].Research Policy,Vol 31,No.7,2002.
[21] 平新乔,尹静.假冒生产对专利制度的伤害[J].经济研究,2004(10):104-114.
[22] 韩玉雄,李怀祖.关于中国知识产权保护水平的定量分析[J].科学学研究,2005(3):377-382.
[23] GINARTE J C,PARK W G,Determinants of patent rights:A cross-national study[J],Research Policy 1997,26(3):283-301.
① 这里全国区域指的是除港、澳、台、海南、西藏和重庆之外的28个省市;其中东部地区包括辽宁、河北、北京、天津、山东、江苏、浙江、上海、福建和广东;中部地区包括黑龙江、吉林、山西、河南、湖北、江西、安徽和湖南;西部地区包括陕西、甘肃、青海、宁夏回族自治区、新疆维吾尔自治区、四川、云南、贵州、广西壮族自治区和内蒙古自治区。
② Ginarte—Park方法:以知识产权范围评估各国专利制度的差异和差距。