在开放创新悖论和负外部性并存的前提下，知识产权的“疏堵”保护模式对地区创新能力影响一直是学界关注的热点问题。基于2012—2018年中国31个省份的面板数据，运用面板固定效应模型，实证检验了开放创新范式下知识产权保护对区域创新能力的影响效应及机制，研究发现：在开放创新范式下，采用“重堵轻疏”的知识产权保护模式影响知识产权的创新溢出效应，不利于区域创新能力的提升，同样采用“重疏轻堵”的知识产权保护模式，由于缺乏创新者激励，同样也不利于地区创新能力提升；只有建立“以市场化疏通为目的，以核心利益保护为底线”的市场化促进与保护模式，才更有利于实现创新者激励与区域创新能力提升双重效应。本研究结果丰富了知识产权保护与区域创新研究方面的文献，对我国政府制定支持区域提升创新能力、知识产权保护政策具有理论和现实参考价值。
Abstract
As an important institutional arrangement to promote knowledge production and technological innovation, intellectual property protection helps to improve independent innovation capabilities, protect the core interests of enterprises, and guide the innovation drive of China′s economic development. Entering the era of knowledge economy, the global economic development model and innovation logic are constantly being upgraded and reorganized. The follow-up development model that China has relied on for a long time with low factor costs and light-based innovation is unsustainable. Pioneering innovation and system innovation have become the key drivers of a country′s economic growth.
Based on the perspective of open innovation, this paper builds a new research framework, analyzes the impact of the "dredging" and "blocking" modes of intellectual property rights on regional innovation capabilities, and explores the moderating effect of open innovation model of "dredge and blockage" combination on the relationship between intellectual property protection and innovation capability level. Based on the panel data of 31 provincial-level regions in China from 2012 to 2018, using the panel fixed effect model, this study empirically tested the effect and mechanism of intellectual property protection on regional innovation capabilities under the paradigm of open innovation, and found that:
First, during the investigation period, under the paradigm of open innovation, intellectual property protection of strong externalities has an inhibitory effect on regional innovation, adopting the intellectual property protection model of "heavy blockage but light dredge" affects the innovation spillover effect of intellectual property rights, it is not conducive to the improvement of regional innovation capabilities.
Second, under the regulating effect of the open innovation model of cooperative R&D between local companies and multinational companies, cooperative R&D between local companies, and industry-university-research collaborative innovation, the negative impact of intellectual property protection on regional innovation capabilities is weakened. However, it does not mean that the protection of intellectual property rights is weakened, but that under the paradigm of open cooperation, the parties to the cooperation do not obtain value through the closed protection of intellectual property rights, but jointly innovate value through market-oriented cooperation. The interaction of market-oriented interests is the key privacy that drives enterprises to choose closed or open intellectual property rights.
Third, in different regions of China, there are significant differences in the impact of intellectual property protection on the development of innovation capabilities, and there is still much room for improvement in the overall level of intellectual property protection. The inhibitory effect of intellectual property protection on innovation output is the most obvious in the eastern region, followed by the central region, and the least obvious in the west. Under the moderating effect of open innovation, the protection of intellectual property rights in the eastern and central regions has a more significant inhibitory effect on the output of invention patents in innovation activities.
The market-oriented intellectual property promotion model of "blocking or dredging" proposed by this paper has put forward a new idea for the market-oriented promotion and protection of intellectual property rights in China. The research results enrich the literature on intellectual property protection and regional innovation research, and have theoretical and practical reference value for the Chinese government to formulate policies to support regional innovation capabilities and intellectual property protection.
关键词
知识产权保护 /
开放创新 /
区域创新能力
Key words
intellectual property protection /
open innovation /
regional innovation capability
{{custom_sec.title}}
{{custom_sec.title}}
{{custom_sec.content}}
参考文献
[1]侯建, 陈恒.高技术产业自主创新模式驱动专利产出机理研究——知识产权保护视角[J].科学学与科学技术管理, 2016, 37(10):63-73
[2]王智新, 梁翠.知识产权保护支撑创新驱动发展评价体系研究[J].科学管理研究, 2018, 36(05):12-14
[3]Sakakibara, M Branstetter,L.Do Stronger Patents Induce More Innovation? Evidence from the 1988 Japanese Patent Law Reforms[J].Social Science Electronic Publishing, 2001, 32(1):77-100
[4]Maloney W F, Lederman D.R& D and Development[J].Econometric Society, 2004, :-
[5]Adkisson, Richard V.Intellectual Property Rights in the Global Economy[J].Journal of Economic Issues (Association for Evolutionary Economics), 2004, 38(1):281-282
[6]Chen Y, Puttitanun T.Intellectual Property Rights and Innovation in Developing Countries[J].Journal of Development Economics, 2005, 78(2):474-493
[7]王华.更严厉的知识产权保护制度有利于技术创新吗[J].经济研究, 2011, 46(S2):124-135
[8]侯鹏, 刘思明, 建兰宁.创新环境对中国区域创新能力的影响及地区差异研究[J].经济问题探索, 2014, 11:73-80
[9]Chesbrough H W., Vanhaverbeke W., West J..Open Innovation: The New Imperative for Creating and Profiting from Technology[J].Harvard Business School Press Books, 2006, :-
[10]West J , Bogers M..Leveraging External Sources of Innovation: A Review of Research on Open Innovation[J].Journal of Product Innovation Management, 2014, 31(4):814-831
[11]Das T K, Teng B S.A resource-based theory of strategic alliances[J].Journal of management, 2000, 26(1):31-61
[12]陈劲, 吴波.开放式创新下企业开放度与外部关键资源获取[J].科研管理, 2012, 33(09):10-21
[13]杜传忠, 陈维宣.全球新一代信息技术标准竞争态势及中国的应对战略[J].社会科学战线, 2019, 288(06):89-100
[14]Luoma T, Paasi J, Valkokari K.Intellectual property in inter-organizational relationships—Findings from an interview study[J].International Journal of Innovation Management, 2010, 14(03):399-414
[15]张军, 许庆瑞, 张素平.知识共享、知识基与企业创新能力关系研究[J].科技进步与对策, 2014, 31(23):149-153
[16]Cosh A, Zhang J J.Open innovation choices–What is British Enterprise doing?[J].UK ~ Innovation Research Centre, 2011, 6:1-57
[17]Laursen K, Salter A J.The paradox of openness[J].Research Policy, 2014, 43(5):867-878
[18]郑飞虎, 蔡宏波, 仲鑫.开放式创新与外资“技术市场化”的新机理[J].南开经济研究, 2019, 5:180-197
[19]Baker W E, Grinstein A & Harmancioglu N.. Whose Innovation Performance Benefits More from External Networks：Entrepreneurial or Conservative Firms[J].Journal of Product Innovation Management, 2016, 33:104-120
[20]Kanwa R S, EvensonR E.Does intellectual property rights spur technological change[J].Oxford Economic Papers, 2003, 55:235-264
[21]Gould D M, Gruben W C.The role of intellectual property rights in economic growth[J].Journal of Development Economics, 1996, 48(2):323-350
[22]Kim Y K, Lee K, Park W G, et al.Appropriate intellectual property protection and economic growth in countries at different levels of development[J].Research Policy, 2012, 41(2):358-375
[23]党文娟, 罗庆凤.环境管制, 知识产权保护与区域创新能力——基于我国省际面板数据的实证研究[J].重庆大学学报社会科学版, 2021, 27(3):203-215
[24]Veer, T., Lorenz, A., Blind, K..How open is too open? The mitigating role of appropriation mechanisms in R&D cooperation settings[J].R&D Management, 2016, 46(S3):1112-1128
[25]Boldrin, M, Levine, D. K. .Against Intellectual Monopoly[J].Cambridge University Press, 2008b, :-
[26]Lerner, J.The Empirical Impact of Intellectual Property Rights on Innovation: Puzzles and Clues[J].American Economic Review, 2009, 99(2):343-48
[27]Jeffe, A B. The US. .patent system in transition: policy innovation and the innovation process[J].Research Policy, 2000, 29(4-5):531-557
[28]Kumar, N.Intellectual property rights,technology and economic development: Experiences of Asian countries[J].Economic and Political Weekly, 2003, 38(3):209-225
[29]Nogues, J J. .Social costs and benefits of introducing patent protection for pharmaceutical drugs in developing countries[J].The Developing Economies, 1993, 31(1):24-53
[30]Williams, Heidi L.Intellectual Property Rights and InnovationEvidence from the Human Genome[J].Journal of Political Economy, 2013, 121(1):1-27
[31]Lerner, J.Years of Patent Protection[J].American Economic Review, 2002, 92(2):221-225
[32]Brüggemann, J Crosetto,P,Meub,L.,Bizer,K. .Intellectual property rights hinder sequential innovation. Experimental evidence[J].Research Policy, 2016, 45(10):2054-2068
[33]John Hudson, AlexandruMinea.Innovation，Intellectual Property Rights,and Economic Development: A Unified Empirical Investigation[J].World Development, 2013, 46(1):66-78
[34]Howitt P, Griffith R, Aghion P, et al.Competition and Innovation: An Inverted-U Relationship[J].The Quarterly Journal of Economics, 2005, 120(2):701-728
[35]Furukawa, Y.The Protection of Intellectual Property Rights and Endogenous GrowthIs Stronger Always Better?[J].Journal of Economic Dynamics and Control, 2007, 31(11):3644-3670
[36]Hashmi, Aamir R.Competition and InnovationThe Inverted-U Relationship Revisited[J].The Review of Economics and Statistics, 2013, 95(5):1653-1668
[37]Park I U, Panagopoulos A.Patent Protection,Startup Takeovers,and Open Innovation[J].International Journal of the Economics of Business, 2019, 26(1):39-64
[38]黄飞霞.外商直接投资、进出口贸易与区域创新——基于湖南省面板数据的经验研究[J].广西财经学院学报, 2014, 27(02):66-70
[39]韩亚峰, 付芸嘉.自主研发、中间品进口与制造业出口技术复杂度[J].经济经纬, 2018, 35(06):73-79
[40]张宽, 黄凌云.引进外资对区域创新能力的影响研究——基于贸易开放的新视角[J].软科学, 2019, 33(08):49-53
[41]姚战琪.服务业开放对中国出口技术复杂度的影响研究[J].学术论坛, 2019, 42(01):79-87
[42]蔡双立, 徐珊珊, 许思宁.开放式创新与知识产权保护：悖论情景下的战略决策逻辑与模式匹配[J].现代财经天津财经大学学报, 2020, 40(03):3-18
[43]Alexy O, Criscuolo P, Salter A.Does IP Strategy Have to Cripple Open Innovation?[J].Mit Sloan Management Review, 2009, 51(1):71-77
基金
国家社会科学基金项目（20BGL051，2020.12—2023.12）；天津市研究生科研创新项目（2021YJSB343，2021.10—2022.10）。
PDF(368 KB)
