| 专利能否提升企业TFP：基于A股上市公司研究 |
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| 引用本文： | 徐长生,陈珍珍,何宇.专利能否提升企业TFP：基于A股上市公司研究[J].科研管理,2006,41(2):123-132. |
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| 作者姓名： | 徐长生 陈珍珍 何宇 |
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| 作者单位： | 华中科技大学经济学院，湖北 武汉430074 |
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| 摘 要： | 企业是国民经济活动的重要参与者，有效的专利政策对于促进企业科技成果转化、提升企业自主创新水平具有重要意义。本文利用中国A股上市公司2000-2016年的财务数据，运用多元回归和倾向得分匹配法研究不同类型的专利能否有效提升企业全要素生产率。研究发现：（1）实用新型专利对TFP的提升效应显著地大于发明专利，而外观设计专利对企业TFP的提升效应被扭曲；（2）专利的提升效应因行业、企业性质和区域而异，发明专利对国有企业、外资企业和东部地区具有显著的提升效应，实用新型专利对非高科技类行业、国有企业、民营企业、其他所有制企业具有显著的提升效应，外观设计专利对非高科技类行业具有显著的负向作用但对外资企业和其他所有制企业具有显著的提升效应。
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| 收稿时间： | 2018-01-20 |
Can patents improve the TFP of enterprises: A study based on A-share listed companies |
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| Xu Changsheng,Chen Zhenzhen,He Yu.Can patents improve the TFP of enterprises: A study based on A-share listed companies[J].Science Research Management,2006,41(2):123-132. |
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| Authors: | Xu Changsheng Chen Zhenzhen He Yu |
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| Institution: | School of Economics,Huazhong University of Science and Technology, Wuhan 430074, Hubei, China |
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| Abstract: | Firms are important participants in the national economic activities. A reasonable patent policy is of great significance to improve firms′ independent innovation level and promote the transformation of scientific and technological achievements. Since the beginning of 21st century, Chinese patent creation has maintained a good momentum of development. However, according to the structure of the authorized patents, the proportion of patents for invention is stable at about 20%, and the ratio of patents for utility model is as high as 50%, while the proportion of patents for invention in European Union and Japan is maintained at about 60% and 85% respectively, and the ratio of patents for design is about 20% and 10% respectively. Although China has made great achievements in patent stock and increment, the quality of patents has been questioned at home and abroad. According to the reality of science and technology innovation in China, the R&D investment of firms account for 77.5% of the national R&D expenditure in 2016, and firms are the main participants in innovative activities. The existing literatures focus on the relationship between the number of patents, patent structure and TFP from the macro perspective. Therefore, it is of great theoretical and practical significance to study the promotion effects of different types of patents on corporate TFP, and explore the realistic path for scientific and technological achievements to be transformed into corporate productivity.
This paper draws on the data of Chinese A-shares listed companies from 2000 to 2016 and studies whether different types of patents could effectively promote corporate TFP by the methods of multivariate regression and propensity score matching. The results show that: firstly, the promotion effect of patent for utility model is significant and higher than that of patent for invention, while the promotion effect of patent for design is distorted. Secondly, the promotion effect of different patents varies among different industries, corporate natures and regions. Specifically, the promotion effect of patent for invention is significant and higher among the state-owned firms, the foreign-capital firms and firms in the eastern region, the promotion effect of patent for utility model is significant and more positive among non-high-tech industries, state-owned firms, private firms and other ownership firms, and patent for design has significantly negative effects on the non-high-tech industries while it has significantly positive effects on foreign-capital firms and other ownership firms.
Then the policy recommendations of this paper suggest: firstly, in view of the significant overall effect of patents for invention and utility model on enhancing corporate TFP, the government should increase policy guidance and support to promote the effective transformation of patent achievements into real productivity, and encourage firms to improve their innovation ability. Secondly, in view of technological catch-up path, China should focus on cultivating patent for invention which has high market value and high innovative degree, promoting the coordinated development of the quantity and quality of intellectual property rights, and realizing the transformation of China from the “big power” to the “great power” in terms of innovative achievements. Thirdly, nowadays, patent for utility model is the dominant one among the three kinds of patents, but with the gradual decline of its social recognition, the Chinese State Intellectual Property Office should improve the standards of patent for utility model, and constantly improve its application and approval system. Fourthly, it is necessary to promote the quality of patent for design so that it can effectively play the promotion effect. Lastly, it is also essential to formulate differentiated supporting policies according to different industries, ownership and regions, and prevent firms from taking advantage of policy loopholes or even cheating. |
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