知识产权保护政策能否推动企业开放式创新？

——以国家知识产权示范城市政策为准实验的经验研究

陈永昌　孙鹏博　王宏鸣

（南开大学经济学院）

　　内容提要：为了促进自主创新和突破关键核心技术“卡脖子”问题，推动开放式创新是当前重要的现实问题。本文以国家知识产权示范城市政策为准实验，利用2008—2019年中国沪深A股上市制造企业的联合专利数据，结合多时点双重差分模型考察知识产权保护政策对制造企业开放式创新的影响。研究结果表明：知识产权示范城市政策对企业开放式创新具有明显的提质增量效应；知识产权示范城市政策在实现政府战略引领的同时降低企业制度性交易成本和协作成本，通过强化市场竞争、缓解融资约束和增加研发投入推动企业开放式创新。进一步分析发现，知识产权示范城市政策对于东部地区、非国有企业、大规模企业以及技术密集型行业企业的开放式创新发展促进作用更强。本文为打破企业研发困境，破解突破关键核心技术难题提供有益思路，也为知识产权如何打造创新联合体、塑造创新集群提供借鉴。

　　

　　关键词：开放式创新；知识产权保护；知识产权示范城市；制造企业；双重差分法

　　

　　作者简介：陈永昌，南开大学经济学院博士研究生，天津，300071；孙鹏博，南开大学经济学院博士研究生，通信作者；王宏鸣，南开大学经济学院博士研究生。

　　

　　基金项目：国家社会科学基金重点项目“中国制造业关键技术缺失、成因及创新突破路径研究”（19AZD015）；天津市研究生创新项目“城市群战略实现绿色包容性增长的机理研究——基于政策、产业和空间三维协同的视角” （2021YJSB008）；南开大学经济学院习近平新时代中国特色社会主义经济思想专题立项资助计划“开发区以升促建提升碳生产率的机理研究”（NKJJXYHKT2022-006）

　　

　　引用格式：陈永昌,孙鹏博,王宏鸣.知识产权保护政策能否推动企业开放式创新?——以国家知识产权示范城市政策为准实验的经验研究[J].经济与管理研究,2023,44(4):90-107.DOI:10.13502/j.cnki.issn1000-7636.2023.04.006.

　　

　　

Can Intellectual Property Protection Policies Promote Open Innovation in Manufacturing Enterprises?

—A Quasi-experiment Based on Intellectual Property Demonstration City Policy in China

ZHANG Jichang, LONG Jing, WANG Zemin

(Nankai University, Tianjin 300071)

　　

　　Abstract: Open innovation brings a new impetus to enterprise innovation in China. It is both an opportunity to break the innovation bottleneck in manufacturing and an effective means to improve innovation capability and productivity. However, open innovation carries the risk of leakage of core intellectual property rights and unclear ownership of innovation achievements. Therefore, optimizing intellectual property protection policies is conducive to promoting the breadth and depth of open innovation. In view of current challenges, research on intellectual property protection is crucial to reduce innovation risks, enhance manufacturing innovation capabilities and achieve breakthroughs in core technologies.

　　This paper takes the intellectual property demonstration city policy as a quasi-experiment with a multi-time point difference-in-differences (DID) model. It then uses the joint patent data to examine the impact and mechanism of the policy on open innovation of listed manufacturing enterprises in China from 2008 to 2019. The benchmark regression analysis reveals that the policy can promote a steady increase in the quality and quantity of open innovation among manufacturing enterprises in the demonstration city. The mechanism analysis shows that the policy enables the government to realize strategic guidance and reduces institutional transaction costs and collaboration costs of enterprises. Meanwhile, it can promote open innovation by strengthening market competition, alleviating financing constraints, and increasing R&D investment. The heterogeneity analysis implies that the policy increases the number of authorized patents for open innovation of manufacturing enterprises in general and the number of joint patents of inventions and utility models. Specifically, it accelerates open innovation of non-state-owned and large-scale manufacturing enterprises, as well as those in the eastern region and technology-intensive industries.

　　This paper may contribute in the following aspects. First, it uses the intellectual property demonstration city policy as an exogenous shock to explore the impact and mechanism. Second, it conducts empirical analysis from the perspective of governments’ strategic guidance and institutional supply. Third, it investigates the heterogeneity of the policy on different types of patents from the perspective of open innovation. The findings provide not only empirical evidence for breaking the R&D dilemma of enterprises and resolving core technologies, but also practical insights for building innovation consortia and innovation clusters with intellectual property protection policies.

　　Keywords: open innovation; intellectual property protection; intellectual property demonstration city; manufacturing enterprise; DID method